The Aon Partner attributed the error to “data corruption” that “was due to an error by an analyst in uploading NAV and cashflow data from ...
SEC staff has observed the disclosure of some ETF portfolio holdings identify foreign currency positions only as “cash.” However, this descriptor is not an appropriate ...
This SEC final rule amends the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasuries to ...
JPMS regularly asked certain advisory clients and brokerage customers to sign a confidential release agreement that impeded the clients from disclosing potential violations of the ...
Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...
The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
Chang misappropriated $58,560 from the Investors via 40 unauthorized ACH transfers to accounts in Chang’s name at two online payment applications. Chang took advantage that ...
Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...
These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...
The firm acted as an investment adviser or principal underwriter to registered investment companies or ESCs in violation of the ineligibility provisions of the Investment ...