A former CIO may be heading to jail as his former employer digs deep into its pockets to pay the SEC $100 million for a ...
The industry got far outnumbered on this one
Snapshot shows number of SEC-registered advisers increased 4% last year and AUM increased 22.3%
The average SEC-registered IA provided over 1,000 pieces of information in Form ADV Part 1 and Schedule D
Adviser mistakes ranged from having inadequate compliance P&Ps to omitting compensation conflicts in Form ADV brochures, failing to monitor for the accuracy of client fee ...
Our annual analysis will no longer observe any trends when it comes to advisers hiring in-house or outsourced CCOs because the Commission no longer publicly ...
This could be a bad year for the SEC’s ability to seek disgorgement
The 9-0 ruling declared that the Commission doesn’t have to show actual monetary losses by investors before assessing disgorgement
An industry known for constant innovations and new products now hands compliance officers a new challenge when it comes to repelling insider trading risks: predictive ...
Suspicious trades seem to be happening all over the place these days—even at the SEC