Examinations Enforcement: SEC Actions

It may seem as if SEC examiners are marching into firms with calculators strapped to their belts like a cowboy's gun hanging from a holster. ...

A lesson for the modern age: develop policies to review your firm's computer security and install antivirus software across the system.A single hacker entering one ...

A year after the market downturn and months after Madoff, the SEC is embarking on new reforms, fueled by new leadership, energy and focus, and ...

Compliance officers have never felt busier but they need to do a better job of mixing with the business teams and uncovering conflicts. "Unfortunately we're ...

Five new specialized units being created by the SEC's Enforcement Division (IA Watch, Aug. 10, 2009) will be assisted by more sweep exams by the ...

The sources won't permit their names to be used - and the SEC and FBI decline to comment - but there are mounting voices claiming ...

Perhaps it was the SEC's fraud charges that played a role in the disappearance of RIA owner Knox Fuqua of Charleston, W. Va., or maybe ...

Another legacy of the Madoff case is SEC enforcement and exam staff will be more diligent, cover more bases, spend more time with firms, ask ...

It appears the SEC has tracked down accused fraudster Glenn Manterfield (IA Week, Aug. 24, 2009). The agency had found it somewhat difficult to serve ...

As early as November the SEC's Inspector General expects to release another investigative report - this one peering into why OCIE examiners never visited Bernard ...