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SEC: Enforcement

Get The Ball! (American Football)
Goldman “only completed the newly developed ESG questionnaires for all positions after securities were already selected”
Horse drawn carriage in front of a building, Santa Maria la Mayor, Ronda, Spain
Goldman "did not adopt written policies and procedures governing how GSAM FE evaluated ESG factors as part of the investment process until some time after ...
The adviser did not have procedures or controls in place to identify or monitor cross trades involving RICs. It also did not conduct any testing ...
"Another way that we work to address the declining trust in the financial markets is by conducting proactive enforcement sweeps and initiatives that specifically target ...
Fiscal year 2022 proved a windfall for the SEC, as it issued $6.4 billion in penalties, interest and disgorgement, a whopping 68% higher than FY ...
The agency touts 760 total enforcement actions in FY '22, a 9% increase over the prior year
It’s difficult to imagine a Congress so divided would be able to address a constitutional remedy should the SCOTUS find for Cochran
Exams focus on alt data, suspicious "wins"
More than one in five cases involved fees, expenses or valuations
As UCB Advisers’ CCO, Garcia compliance duties related to securities, including penny stocks, and was tasked with ensuring that UCB Advisers and its IARs comply ...

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