Examinations Enforcement: SEC Actions

A few paragraphs from the SEC on derivatives has some in the industry wondering what's up. Last month the agency announced it's applying the brakes ...

The fate of former vFinance COO/CCO Richard Campanella rests in the hands of the Commission after an appeal last week of an administrative law judge's ...

It could prove the ultimate in exam preparation: a guide to OCIE's exams from the SEC's Office of Compliance Inspections and Examinations itself. The division ...

The last two years have spotlighted the need for advisory firms to conduct sound due diligence before moving investors' cash to another entity. Chances are ...

The First Circuit Court of Appeals in Boston handed the SEC - and private practice attorneys - a stinging defeat in a case that claimed ...

How's this for a sign that everything isn't hunky-dory: when SEC examiners showed up at an RIA, the CCO announced the firm had just deregistered?Last ...

As RIA Anchor Capital Advisors in Boston ($5B in AUM) met its fiduciary duty to its investors, the CPA it had entrusted to run its ...

A federal judge is being asked to throw out SEC civil charges against Robert Allen Stanford, in part citing that the Commission claims Advisers Act ...

Looks like the SEC will get to hear conversations among some Galleon casedefendants, if a federal judge's decision stands. Last week U.S. District Court Judge ...

In many ways it shouldn't be a surprise given the embarrassments of the last two years that OCIE exams are growing tougher (IA Watch, April ...