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Examinations Enforcement: SEC Actions

Boston adviser learns value of good compliance officer
Morgan Stanley charged with falling "woefully short" in the firm's PII protection efforts
Biggest single-day crackdown on industry since 2018
A New York private fund adviser didn’t bother to audit one of its foreign funds for nearly a decade, and then was months late getting ...
Three top exam tips passed on by former co-head of SEC's Private Funds Unit
Defendants allegedly bilked more than $75 million from clients via complex investment structures and web of affiliate companies
The SEC simultaneously announced three enforcement actions against firms for violating the identity theft red flags rule
Savvy CCOs can use risk alerts as cheat sheet
The enforcement action led to SEC Commissioner Hester Peirce once again addressing the issue of CCO liability
The SEC claims the defendants failed to comply with both Reg BI's "Care Obligation" and "Compliance Obligation"

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