SEC: Enforcement

A new SEC enforcement case contains lessons on what not to do if your firm suffers a ransomware attack

Avoid this mistake: Advertising performance 'without an accompanying qualification or disclaimer on that page suggesting such results were anything other than performance results of the ...

"Also concerning is the Commission’s decision to stretch the law to punish a company that was the victim of a cyberattack. While an enforcement action ...

The "threat actor was able to utilize deceptive hacking techniques to install encryption software on certain" of the adviser's "computers (mostly virtual machines) and exfiltrated ...

When advertising the performance of a private fund, the adviser presented performance returns that were experienced by a single investor. These returns did not constitute ...

This document discloses the division's policies around requesting information, whether voluntarily or via a subpoena

The PPM for the fund described a short position investment strategy but omitted that the strategy involved working with activist short publishers and trading in ...

SEC Enforcement Director calls out the true, tangible benefits for parties that cooperate with Commission investigations

'That is the result that we ultimately want to see: it’s compliance,' Andrew Dean tells Private Funds CFO's compliance forum

"If new rules impact your operations or if recent enforcement actions highlight risk areas relevant to your business, it means evaluating whether you need to ...