Failure to supervise

As a result, UBS’s recordkeeping failures likely impacted the Commission’s ability to carry out its regulatory functions and investigate violations of the federal securities laws ...

While permitting employees to use approved communications methods, including on personal phones, for business communications, NSI failed to implement sufficient monitoring to assure that its ...

Credit Suisse’s recordkeeping failures likely impacted the Commission’s ability to carry out its regulatory functions and investigate violations of the federal securities laws across these ...

These proceedings arise out of the widespread and longstanding failures of employees throughout the firms, including at senior levels, to adhere to certain of these ...

The analyst replied to Compliance Officer’s initial email, stating that he did not see anything that would require SARC to take immediate action, such as ...

BAG’s compliance manual included P&Ps requiring that trade orders include instructions for how the shares in the block trade are to be allocated. However, Brander ...



MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...

Firm charged for failure to adopt P&Ps to prevent violations in areas of "high risk" advisers heightened supervision and more

The Compliance Officer recommended to Horter that the rep be fired for effectively failing Horter Investment’s due diligence process. Horter rejected the Compliance Officer’s advice