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The latest from the SEC.

We hope that firms' leadership, including those in compliance, legal, risk, and information security, across the financial services industry will review the priorities and consider ...
Michael Pellegrino was associated with GFG from its founding until November 2018 when he transferred his GFG ownership stake to Anthony Pellegrino
More standardized requirements for performance metrics would allow private fund investors to make apples to apples comparisons when assessing the returns of similar fund strategies ...
Rather than invest their moneys as promised, Van Zandt used his investors’ funds to pay earlier investors and satisfy personal expenses
The Commission estimates that, each month, approximately 1,000 Managers would trigger a Reporting Threshold for at least one security, and therefore be required to file ...
Rivero convinced at least five of his clients and customers at Financial Institution A – some of whom over eighty years old and/or disabled – ...
Advisers and funds should also consider testing their incident response plans to assess their efficacy and to determine whether any changes are necessary, for example, ...
Timelier reporting would also allow other market participants, such as analysts and investment advisers, to better value the securities and make better recommendations
fundraising
It is a long-standing principle that an investment adviser must “disclose any potential conflicts of interest accurately and completely.”
CIRA owes its advisory clients an affirmative duty of utmost good faith, is obligated to provide full and fair disclosure of all material facts, has ...
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