In the string of investment fund fraud cases the Commission has brought since the arrest of Ponzi king Bernard Madoff, enforcement officials typically do not arrive in time to save investors from losing their money. Despite diligent efforts, law enforcement…
Month: November 2011
A PROACTIVE APPROACH TO ENSURE ADVISORS ADOPT PROCEDURES
The reorganization of the Division of Enforcement which spawned the re-introduction of specialty groups was, in part, designed to focus the resources of the Division and increase efficiency and effectiveness. Three recently filed cases are an example of the results…
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