Financial fraud has long been a focus of the Commission’s enforcement program. While over the years a series of significant actions have been initiated, in recent periods, there have been difficulties in identifying and initiating actions. This week the Commission …
Year: 2021
Investment Advisers – A Continuing Focus of Enforcement
Investment advisers have become a key focus of the enforcement division in recent years. For years corporate disclosure and financial cases were the primary focus of the division. Now actions involving investment advisers often outnumber those brought in that traditional …
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