Month: April 2016

The Commission has increasingly focused on data analysis as an aid to its enforcement program. Two recent cases brought against investment advisers for cherry picking illustrate different facets of the approach. In the Matter of Bruce A. Hartshorn, Adm. Proc. …

The SEC’s Increasing Use of Data Analysis Read More »

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Financial fraud has long been a staple of SEC enforcement. In the wake of the market crisis the agency has attempted to once again focus on the area creating, for example, a financial fraud task force two years ago. Last …

SEC Brings Two Financial Fraud Actions Read More »

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