Examinations Enforcement: SEC Actions

Although the SEC's not talking, various sources confirm that the Office of Compliance Inspections and Examinations has been sending this fall a sweep exam letter ...

The latest SEC enforcement action targeting insider trading reads like a mix of espionage and office politics, with its claim that the suspects "exchanged illegal ...

Legal troubles emerged for a legal eagle last week, as the SEC charged a second Ropes & Gray attorney in its widening insider trading investigation ...

The SEC actually brought fewer cases against investment advisers in FY 2009 than the year before, but the ones it did pursue touched many more ...

Recent months have featured a few of these cases, in which compliance staff at financial services firms have been cited for failing to keep a ...

Because the SEC was "severely bruised" by the Madoff embarrassment, expect aggressive agency actions to avoid a repeat and more knowledgeable and inquisitive examiners.This was ...

IA Watch has obtained testimony that appears to support allegations of insider trading at the RIA Pequot Capital Management (IA Watch, Jan. 12, 2009). The ...

The head of one RIA gambled on Google and lost big - $12 million in just two months, according to the SEC - and the ...

Close to two dozen federal entities – including the SEC– have joined to combat financial fraud, authorities announced Nov. 17. President Obama, acting from China, ...

The SEC claims Ezra Levy, the former CFO at the hedge fund and registered investment advisory firm Boston Provident ($135 billion in AUM) in New ...