Home Examinations Enforcement: SEC Actions

Examinations Enforcement: SEC Actions

Guidance offers prep tips for before, during, and after a Commission examination
Cleanup housework concept. Closeup cleaning woman sweeping wooden floor with red small whisk broom and dustpan indoor
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
Just when you thought it was safe to go back to the office
Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"
Firms paused fund raising for years over single trades
Cases raise 'red flags' for funds' due diligence
Regulators 'really pushing the boundaries' with fintech
Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers
If you think cybersecurity is tough now, don’t worry. It’s going to get worse.

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