Tag: financial fraud

Ignoring Firm Policy and Data Ends With SEC Sanctions

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

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This Week In Securities Litigation (Week ending May 10, 2019)

Chairman Jay Clayton testified on Capitol Hill this week, requesting an increase in the budget for fiscal 2020. Additional funds are necessary, the Chairman noted, to increase the size of the staff which currently stands at about 4,500 members. Enforcement

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