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Examinations Enforcement: SEC Policy (85)
Your search for Examinations Enforcement: SEC Policy returned 85 results.
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4/12/2018 | Content area: Investment Adviser
The window period to take advantage of the SEC’s Share Class Selections Disclosure Initiative is fast drawing to a close with its attendant June 12 de...
4/05/2018 | Content area: Investment Adviser
One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low of 5%. Howev...
11/30/2017 | Content area: Investment Adviser
SEC enforcement has undergone “considerable transformation” since the change of the administration, according to a new report released by a Georgetown...
6/29/2017 | Content area: Investment Adviser
The SEC has made “recent and rapid advancements” with its analytic programs that are harnessing the power of big data and these developments are havin...
5/24/2017 | Content area: Broker-Dealer
Beginning as early as 2007, but escalating in 2014 and continuing into at least April 2015, Ponn defrauded numerous brokerage firms through bogus bank...
5/12/2016 | Content area: Private Fund
It is thus critically important that advisers disclose all material information, including conflicts of interest, to investors at the time their capit...
1/14/2016 | Content area: Investment Adviser | Broker-Dealer
Exchange-traded funds, a continuation of the ReTIRE initiative, the suitability of variable annuities and private placements under Reg D are among the...
12/17/2015 | Content area: Investment Adviser
Yet another SEC case charges an investment adviser for placing its own financial interests ahead of its clients and for attendant disclosure failures ...
11/05/2015 | Content area: Investment Adviser
The SEC’s Enforcement Director Nov. 4 again addressed his division’s perspective on compliance officers and how Enforcement approaches cases that invo...
10/29/2015 | Content area: Investment Adviser
The SEC’s Division of Investment Management and the Office of Compliance Inspections and Examinations are actively developing a recommendation that wo...
10/07/2015 | Content area: Broker-Dealer
Look for recommendations related to funds’ use of derivatives to be advanced by the SEC by year-end. In a Sept. 29 address in celebration of the 75th ...
8/13/2015 | Content area: Investment Adviser
Seasoned compliance professionals are always parsing the language in SEC enforcement actions for guidance and to glean the message being sent by the C...
7/22/2015 | Content area: Investment Adviser
Despite a “banner year” in which it brought a record 755 cases in FY 2014, the SEC’s Enforcement Division has faced a number of questions concerning i...
7/16/2015 | Content area: Investment Adviser
One of the bones Congress threw the industry in the Dodd-Frank reform law was giving SEC exam and enforcement staff 180 days to do their job – so firm...
6/25/2015 | Content area: Investment Adviser
Four broad areas of inquiry make up OCIE’s ReTIRE Initiative, which will dig into investment recommendations, conflicts, compliance and marketing. OCI...
5/14/2015 | Content area: Investment Adviser
The SEC has been getting a lot of heat for bringing a preponderance of litigated enforcement actions before its administrative law judges (IA Watch, A...
5/13/2015 | Content area: Investment Adviser | Broker-Dealer
Ceresney asks if cooperation is worth it? "Does it provide significant enough benefits to make it worthwhile? Particularly given some of the downside...
4/23/2015 | Content area: Investment Adviser
If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you now have a sc...
3/26/2015 | Content area: Broker-Dealer | Private Fund
In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters (D-...
3/03/2015 | Content area: Investment Adviser | Private Fund
The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was the co...


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