Enforcement

Be aware of a type of affinity scam called “pig butchering,” which is “derived from the process of fattening hogs for slaughter.” It's being increasingly ...

Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024

“I think Oppenheimer had an opportunity to prevent all of this from happening,” an investor says

'Scary' case should worry small- and mid-sized managers, expert says

'We need to pay attention to the scope of the duties created by the agreements we sign'

'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'

'In the PE world... there are a lot more areas for people to take advantage,' top cop says

If questions remain about which regulator—the SEC or the CFTC—will take the lead on oversight of digital assets, a new report from the CFTC lays ...

Firm was victim of Hollywood scam, gets credit for prompt remediation

Penalties top $5 billion, Grewal seeks 'three e's'