Tag: SEC Enforcement
SEC Fines Adviser for Failing to Establish and Enforce Restricted List Policies and Procedures
The adviser invests in thinly-traded securities and frequently communicates with company insiders and enters into nondisclosure agreements with companies.
February 07, 2020
Tags: SEC Enforcement
The adviser and its president, CEO, and majority owner settled SEC charges related to not following client instructions and of failing to adopt or implement compliance policies and procedures related to adhering to client objectives and restrictions.
December 18, 2019
Tags: SEC Enforcement
SEC Enforcement Actions against Investment Advisers Continue to Mount in FY 2019
The SEC’s Division of Enforcement’s 2019 annual report shows a significant increase in enforcement actions against investment advisers during the fiscal year (FY) ended September 30, 2019.
November 25, 2019
Tags: SEC Enforcement
SEC Co-Director of Enforcement Outlines Additional Areas of Undisclosed Conflicts
In a recent speech, Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement, discussed the Division’s focus on identifying material conflicts of interest that are harmful to investors.
November 25, 2019
In a case that will have ramifications for investment advisers, the SEC charged a large broker-dealer with fraudulent misrepresentations relating to its mutual fund share class selection process.
November 25, 2019
The SEC is seeking a permanent injunction prohibiting future violations of the Advisers Act, disgorgement, and a civil penalty.
November 25, 2019
Tags: Dual Registrant, Massachusetts, SEC Enforcement, Share Class Disclosure
SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies
The SEC censured and fined a Chicago-based investment adviser $50,000 for failing to comply with its written trade aggregation policies and procedures.
November 25, 2019
Tags: SEC Enforcement, Trading
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