SEC: Enforcement

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...

Pair gamed 'meme stonk' chaos, feds claim

SEC to be remote through Jan. 3, sources say

Fund bilked employees, regulators say

Last domino in Sentinel scheme falls

Enforcement may be a case study in what not to do

'Clock is ticking,' Chairman warns

Case another example in importance of delegating compliance authority

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

“I think the lesson [of his case for other advisers] is you’re always going to be vulnerable” when “there’s a lack of guidance or standards,