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SEC charges ESG RIA WisdomTree over inadvertent tobacco, fossil fuel investments
The charges arise from prospectuses stating that the company would exclude ESG-negative industries from its investments.
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SEC says Horter Investment failed to supervise adviser for misconduct
SEC says the (now convicted) adviser stole from clients, thanks to the firm and its CEO failing to reasonably supervise him.
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Activist investor Macellum Advisors hit with $75k penalty for failing to disclose third-party payments
The firm was accused by the SEC of failing to disclose potential conflicts of interest resulting from the fees it received from outside investors.
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Compliance failures related to cherry-picking scheme at two IA firms
The SEC said the firms failed to supervise advisers engaging in the fraudulent practice of preferentially allocating profitable trades at the expense of client accounts.
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Exceeding client-designated investment limits leads to IA fines
SEC has fined Merrill Lynch and Harvest Volatility Management for fiduciary negligence resulting in higher fees, over-exposure and some losses.
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SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
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NSCP: SEC Exam Division leaders share insights on new year of priorities
At the NSCP annual conference this week, SEC Exam Division leaders told the audience how to best prepare for agency inspections.
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SEC Commissioner Mark Uyeda prepared and unscripted at NSCP conference
Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.