SEC: Enforcement

The case provides three errors to avoid when it comes to disclosing revenue sharing arrangements

A federal judge lays out the legal foundation requiring advisers to disclose conflicts

'The dam is broken'

The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms

Regulators want funds to know there's nowhere to hide

'Compliance and marketing teams are in a challenging spot...'

'Just because a crypto trading platform claims to be a qualified custodian doesn’t mean that it is'

It “is unlikely that the firm principals will ever be repaid for these funds,” the government wrote

Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...

Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...