SEC Actions

Respondent’s bonus compensation was directly tied to success in raising funds for APEF VI, and Abraaj paid him a nearly $2 million bonus in January ...

"I compromised the integrity of my judgment, and for that I am disappointed with myself and very sorry. I do accept full responsibility for my ...

The Advisory Firm had an incentive to recommend the selection of the Capital Reserves and Daily Money share classes for clients, which generally provided clients ...

The sooner the parties have affirmed the trade information for their transaction, the lower the likelihood of a settlement fail because the parties will have ...

The Commission shall not make a related-action award to a claimant (or any payment on a related-action award if the Commission has already made an ...

Velissaris knew or recklessly disregarded that he was, in fact, manipulating the valuations of the Infinity Q Funds’ positions in the Pricing Service and was ...

"We urge firms that continue to be delinquent in fulfilling their Form CRS obligations to come into compliance with the law and to self-report to ...

This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers

"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...

This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C