Tag: SEC Enforcement
SEC Brings Three Cases for Identity Theft Red Flags Rule Violations
The SEC charged three firms for identity theft prevention program deficiencies, in violation of the Identity Theft Red Flags Rule (Regulation S-ID).
August 01, 2022
Tags: Dual Registrant, Red Flags, Reg S-ID, SEC Enforcement
Recent SEC Share Class Case Focuses on Wrap Fee Program
SEC fines adviser for placing wrap fee clients in more expensive fund shares without disclosing related conflicts.
July 29, 2022
Advisers Charged with Valuation, Compliance, Oversight Failures
SEC fines fund adviser and sub-adviser in connection with overvaluation of fund assets, oversight, compliance failures.
June 27, 2022
Tags: Mutual Funds, SEC Enforcement, Valuation
This first-of-its-kind case centers around Reg BI violations in connection with recommendations and sales of L Bonds to investors with moderate risk tolerances.
June 20, 2022
Tags: Reg BI, SEC Enforcement
SEC Charges Adviser for Violating Short Selling Restrictions
SEC fines adviser for violating short selling rule, notes adviser’s self-reporting.
June 20, 2022
Tags: SEC Enforcement, Short Selling, Trading
SEC fines advisers for false and misleading statements in their Form ADV filings about the cash component of their robo-adviser service.
June 20, 2022
SEC Charges PE Adviser for Disproportionate Expense Allocations to Fund
SEC fines private equity fund adviser for failure to disclose disproportionate allocation of expenses to fund.
June 20, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
Tags: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations
SEC Charges Adviser and Portfolio Managers with Fraud in Connection with Complex Options Strategy
SEC charges adviser and portfolio managers and bans adviser from registered fund business in connection with fraud related to complex strategy.
May 25, 2022
Tags: Private Funds, SEC Enforcement
SEC Fines Firm and Former Co-CEOs for Overstating AUM in Public Offering Materials
SEC fines firm and co-CEOs for misleading statements about AUM.
May 13, 2022
Tags: SEC Enforcement
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