The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.
Julie DiMauro3 min read
Three of the firms received credit for self-reporting.
Julie DiMauro4 min read
SEC’s latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.
Julie DiMauro3 min read
Changes address concerns about client asset custody problems in the crypto sector.
Thomas Hyrkiel2 min read