Month: February 2017

A Risk Alert regarding its National Exam Program was issued by the SEC’s Office of Compliance Inspections and Examinations or OCIE. Drawing from its prior exam experience, OCIE identified five key areas of risk for investment advisers. Each point is …

SEC’s OCIE Issues Alert on Key Compliance Issues Read More »

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The Commission dropped an action against two senior executives of Thornburg Mortgage, Inc. rather than retry the market crisis era case. In the initial trial a jury found in favor of the two executives on a number of counts but …

SEC Drops Market Crisis Case When Faced With Retrial Read More »

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