Tag: compliance

Compliance Failures Yield SEC Sanctions For Adviser, CEO

The retail investor focus of SEC Enforcement is translating into an investment adviser focus. The Division’s recently published Report reveals that cases involving investment advisers and investment companies were the second largest group of actions brought in the last fiscal

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This Week In Securities Litigation (Week ending August 31, 2018)

The Commission filed actions this week keyed to the use of financial models and controls. One group of cases centered on the Transamerica Companies. There untested, error ridden financial models were deployed. In another Moody’s was sanctioned for failing to

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