Enforcement

Firm accused of significantly exceeding FINRA limits for non-cash compensation tied to the supplying of perks to retail broker-dealer reps

Record-setting stoppage aggravated already longer holding periods, slower distributions and growing reliance on continuation and secondary vehicles to manage liquidity

European regulators outpace Americans for first time. 'Sanctions have become something that, really, we can’t ignore anymore,' LexisNexis Risk Solutions' Vincent Gaudel says.

New California laws have outsized impact, but Debevoise & Plimpton lawyers offer practical answers for private fund managers

Should the provision ever become law, opponents fear it 'would create loopholes that fraudsters could exploit, including new thresholds for investor losses'

Regulators say they’re most worried about the ways new technology helps old scams do their work

The SEC found that the RIA's advisory agreements and Form ADV failed to disclose the 'exit fees' that its custodian would charge clients

Among the factors the Commission will weigh is whether the defendant held specialized knowledge, expertise, or was licensed in an industry related to the rule ...

The problem was neither set of procedures described how the firm should monitor transactions involving customer money movements for AML red flags or how such ...

There’s no question that the pace of off-channel communications cases brought by regulators has slowed to a crawl. While enforcement actions are fewer, some remain ...