SEC: Enforcement

Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...

'You’ve got to make sure that employees understand what the rules are,' expert warns

Lots of trouble has befallen German Nino, the former UBS rep in Miami who faces SEC and criminal charges for allegedly stealing $5.8 million from ...

Rule proposals open private funds' year of living dangerously

'I take full and sole responsibility for my conduct,' heir to shopping dynasty says

Commission's theory 'unique,' but 'within the contours" of the law, judge rules

Nino allegedly used the funds for personal expenses—primarily gifts and travel and living expenses for women with whom he had romantic relationships

Calamari will lead two-person team, pursue any potential litigation, Infinity Q says

'Train's moving,' expert warns

One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year ...