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Examinations Enforcement: SEC Actions

Business statistics concept. Marketing. Analysis. Management strategy.
When advertising the performance of a private fund, the adviser presented performance returns that were experienced by a single investor. These returns did not constitute ...
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An internal review found that some investors received material holdings and exposures information about the fund without compliance’s review and approval
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This is SEC 2866 that covers rules around providing information during an examination
IA penalized $60K for running afoul of the Commission's pay-to-play rule
New York-based firm was charged by the SEC for not adequately disclosing pre-IPO discussions with a potential acquisition target
It took Mortgage Industry Advisory Corp. 16 years, and a second SEC exam, to adequately address cited deficiencies first identified in 2006
SEC found Deutsche Bank subsidiary made materially misleading statements about its controls for incorporating ESG factors into research and investment recommendations
Guidance offers prep tips for before, during, and after a Commission examination
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RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing
SEC opens exam sweep of exempt advisers amid liquidity concerns

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