Home Enforcement
Enforcement
COVID-19 is a double-barreled compliance crisis for private funds. On the one hand, as cash evaporates it could expose weak investments or even outright fraud ...
SEC monitoring the IA and IC space for failures that could suggest underlying problems
The list of factors below is intended to provide a framework through which Division staff will evaluate the appropriate penalty to recommend to the Commission
A Florida private fund adviser hid losses on bad loans and booked fees it hadn’t yet received to over-inflate its funds’ net asset values by ...
For nearly three decades, Marko Dimitrijevic was an impresario in emerging market funds. His firm, Everest Capital, attracted early investments from George Soros and Dimitrijevic’s ...
A private fund isn’t a personal fund, and the SEC has just driven the point home by barring a Maryland investment adviser for helping himself ...
CIM placed orders at different bid and offer prices, but after being unable to fill the orders, Khorrami repeatedly modified the orders until the bid ...
A New York private equity fund adviser has agreed to pay nearly $1.9 million to settle SEC accusations that it hid management fees from its ...
Even as the SEC is weighing changes to its fund valuation rules, it hasn’t stopped enforcing current ones, as mutual fund adviser Semper Capital Management ...
A Boston-based private fund adviser mislabeled one of its drilling assets in a marketing brochure and will now be $1 million lighter for it. In ...
A New York investment adviser will pay $35 million to settle claims that it sold tens of millions of dollars in phony loan assets to ...
The SEC alleges material misstatements were made to hedge fund investors
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...
The "SEC had sent prior warnings to Defendants about problems in their advertising and disclosures and also warning that it would consider ‘recidivist behavior’"
Crypto firm has three months to refund any cash that investors demand back
“Romeril faces the threat of reopened and renewed prosecution if he speaks up”
"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"
A “language barrier and certain cultural differences” blamed for regulator woes
RELEASE Number 8062-19 October 24, 2019 CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: