SEC Actions

The SEC has handed over its private fund adviser compliance “playbook” but now it’s up to the industry to execute the plays, a pair of ...

The settlement asserts Meredith Simmons shared the document with OCIE examiners without divulging when she really created it

The Commission is not imposing a penalty because TAM self-reported the above conduct, took prompt steps to remediate the violations

The SEC pinpoints the firm's errors in "repeatedly" mismarking sell orders in contravention of Reg SHO

The misbehavior stopped only when personnel changed on the firm's treasuries desk

The new procedures also required the establishment of a Compliance Committee, composed of LCA’s CEO, CCO, and CFO...The Compliance Committee failed to meet on a ...

To meet this fiduciary obligation, HWIS was required to provide its advisory clients with full and fair disclosure that is sufficiently specific so that they ...

Creative failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in connection ...

The agencies note that the effective date for the 2020 amendments is unchanged and continues to be October 1, 2020

The SEC’s still open derivatives rulemaking notice may well be a glimpse into how the Commission will regulate money market and exchange-traded funds, Division of ...