Year: 2019

Many SEC enforcement actions center on violations of the company or firm policies. A series of cases involving investment advisers, for example, have been filed in recent months based at least in part on the failure of the advisory to …

Ignoring Firm Policy and Data Ends With SEC Sanctions Read More »

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The Commission settled two failure to supervise cases with Nomura Securities International, Inc. In the Matter of Nomura Securities International, Inc., Adm. Proc. File No. 3-19248 (July 15, 2019); In the Matter of Nomura Securities International, Inc., Adm. Proc. File …

Trading in Opaque Markets and Compliance Read More »

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