Latest sec

Trouble With Tokens Continues: ICO Issuers Settle SEC Registration Charges

Despite the Securities and Exchange Commission (SEC) toughening its regulation of virtual currencies and initial coin offerings, enforcement actions continue to be filed with increasing frequency. 

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Latest sec

SEC Publishes Risk-Based Examination Priorities for Registered Investment Companies

In an early November announcement, the Securities Exchange Commission (SEC) has publicized new exam initiatives that were announced in a recent risk alert by the Office of Compliance Inspections and Examinations (OCIE) concerning mutual funds and exchange-traded funds.

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SEC Charges Two Brokers with Defrauding Customers

November 15, 2018

In separate complaints, the Securities and Exchange Commission has charged two brokers, Emil Botvinnik of Florida and Jovannie Aquino of New York, with recommending excessive levels of short-term trades that appear to have generated lucrative commissions for the brokers, but were almost certain...

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Fraud and Failure of Oversight: Elon Musk and Tesla Motors Settle SEC Charges

November 14, 2018

Fraudulent messaging that affects retail investment decisions comes in many forms, but the applicable regulatory statutes apply across all circumstances.

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Cybersecurity Risks: OCIE and SEC Enforcement Division Focus Continues

October 09, 2018

Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number sources, but the level of potential damage to individual firms and the overall market also increases with each passing year.

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Hamlin Capital Management, LLC — Cease-and-Desist Order and Remedial Sanctions Levied by SEC

October 04, 2018

Hamlin Capital Management, LLC, a New-York-based investment adviser, has been charged by the Securities and Exchange Commission (SEC) with violations concerning cross trading activity that favored particular client accounts over others.

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Keeping Accurate Books? — SEC Charges BGC Financial for Failure to Preserve Critical Records

September 17, 2018

A broker-dealer’s internal Policies and Procedures for keeping accurate and up-to-date records of compensation, travel, and gifts and entertainment expenditures, including audio files, are an essential part of a firm’s books and records requirements.

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Compliance Alert: OCIE Issues Best Execution Risk Alert

September 14, 2018

Among a variety of other requirements, investment advisers have a fiduciary duty to seek the best available execution for each client’s trades at the most favorable prices possible under current market conditions.

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Whistleblower Rule Amendments Strengthen Incentives and Clarify Requirements

August 14, 2018

 

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Fifth Circuit Issues Mandate Vacating DOL Fiduciary Rule — Your Firm Should Remain Vigilant as the SEC Steps In

August 13, 2018

 

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