Home Examinations Enforcement: SEC Actions

Examinations Enforcement: SEC Actions

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
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

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