Enforcement

Examiners seek lists of employees, execs, board members with cyber responsibilities

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

People walk by the New York Stock Exchange building in the financial district on Wall Street in lower Manhattan New York USA is home to ...

Gatekeepers learning hard lessons

'Shockingly low' compliance budgets collide with regulatory demands

After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...

During the relevant period, however, BACNAH’s Fraud Investigations Group used a $25,000 threshold, instead of the proper $5,000 threshold, with respect to transactions or attempted ...

Bonderman's holding company to set aside $15.7 million for class-action claims

SEC opens exam sweep of exempt advisers amid liquidity concerns

Firm will 'vigorously defend' second SEC suit in a decade, CCO says