SEC Fines Barclays $15M Over Lehman Acquisition Failures
Barclays failed to establish a critical compliance foundation when it acquired Lehman’s advisory business, the regulator says.
SEC Using Hedge Fund Data on $8 Trillion in Assets in Exams, Enforcement
SEC tells Congress it is using compiled data from Form PF, now required of private fund advisors, to support its own regulatory programs.
Harbinger Capital COO to Pay SEC Fine Over Falcone Scheme
Peter Jenson admits wrongdoing in scheme to misappropriate millions from a hedge fund they managed to pay Falcone’s personal taxes.
Andrew Ceresney, SEC’s Enforcer: The 2014 IA 25 Profile
Andrew Ceresney says keeping up with the increased complexity of wrongdoing is among the biggest challenges for the enforcement division at the SEC.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
SEC Busts Variable Annuity Scam Targeting Terminally Ill
Brokers and an advisory firm used variable annuities with death benefits to cash in on patients' demise, SEC says.
SEC Slaps 3 Advisors for Custody Violations
The SEC on Monday sanctioned three SEC-registered advisory firms for violating the custody rule.
SEC Crackdown Nabs 3 Advisors for Shoddy Compliance Programs
Sanctions came a day after SEC chief Mary Jo White said that the agency was going after advisors who ignored repeated warnings.
SEC’s White: Compliance Pros Acting Lawfully Should Not Fear Enforcement
SEC Chairwoman Mary Jo White aims to reassure CCOs, but an ex-exam chief says "the proof is going to be in the cases they bring."
SEC Charges San Diego Advisor With Cherry-Picking, Soft Dollar Scheme
The SEC charged a firm and its president with steering winning trades to favored clients and misusing soft dollars.