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Examinations Enforcement: SEC Actions

The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...
Buttonwood and McGraw therefore had a financial conflict of interest with their clients—they had an incentive to select investments for clients that would allow Buttonwood ...
By making the false and misleading statements about the fee markups in its Firm Brochures or otherwise, Roberts and TCFG violated the fiduciary duties they ...
Funds face 'stress-test'
In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...
Firm charged for failure to adopt P&Ps to prevent violations in areas of "high risk" advisers heightened supervision and more
Unproven theory may make firms hostage to P&Ps, side deals
Firm 'continues to lack' compliance infrastructure, regulators claim
Study caught regulators' attention year before historic case filed
The Compliance Officer recommended to Horter that the rep be fired for effectively failing Horter Investment’s due diligence process. Horter rejected the Compliance Officer’s advice

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