Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ceresney was the keynote speaker at the National Society of Compliance Professionals
The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describing the results of enforcement actions taken against advisers in fiscal year
On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with failure to disclose. The SEC said that the
The Securities and Exchange Commission announced on September 22, 2015 that an investment adviser has agreed to settle charges that it failed to establish the
On September 21, 2015, the Securities and Exchange Commission charged an asset manager with improperly using mutual fund shareholder’s assets to pay two unnamed brokerage
On September 15, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) issued a new Risk Alert relating to cybersecurity. This Risk Alert reemphasized the intention
The Financial Crimes Enforcement Network (FinCEN) proposed on August 25, 2015, a rule that would require certain registered investment advisers to have in place anti-money
The SEC announced on Tuesday charges against 32 defendants involved in an unprecedented illicit scheme deployed in the US and overseas. The scheme involved hacking
The Securities and Exchange Commission recently charged a private equity firm for misallocating more than $17 million of “broken deal” expenses. Broken deal expenses are
By Janaya Moscony, CFA; Irshad Karim; Linda Smith; Claire Owens, SEC Compliance Consultants Published: NSCP Currents May 2015 The SEC has made cybersecurity a significant
