The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
The SEC has settled charges against a registered investment adviser for breach of fiduciary duty to clients for failures regarding conflicts disclosure, best execution, and duty of care.
Adviser Pays Over $760,000 to Settle Charges In yet another case involving cash sweep accounts, the SEC has fined a New York-based adviser in connection with failing to disclose revenue...
SEC Brings More Revenue Sharing Disclosure Cases August 17, 2021 Revenue sharing disclosure violations are at the heart of two new enforcement actions by the SEC. In the first...
Massachusetts Adviser Pays Over $1.9 Million to Settle Charges of Inadequate Disclosure of Revenue Sharing in Connection with Cash Sweep Bank Accounts July 20, 2021 In another sign of...
Boston Firm Pays Over $1.85 Million to Settle Share Class Charges SEC Continues Crackdown, Expanding Focus on Revenue Sharing, Cash Sweep Vehicles February 22, 2021 In its latest enforcement case...
Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring, and Disclosures January 5, 2021 The SEC has fined a New Jersey-based dual-registrant over...
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt December 28, 2020 The SEC has fined an Iowa-based dual-registrant over $20 million in connection...
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