- SEC FILED 32% MORE ENFORCEMENT CASES AGAINST ADVISERS AND FUNDS IN FISCAL 2018 (11/5/18)
- CCOS LIABLE FOR FAILING TO “MEANINGFULLY” IMPLEMENT COMPLIANCE PROGRAMS (11/12/18)
- SEC IS EXAMINING REGISTERED FUNDS AND ETFS FOR OVERSIGHT, POLICIES, AND CONFLICTS (11/9/18)
- FEDERAL COURT RULES THAT THE SEC MUST PROVE THAT DIGITAL TOKENS ARE SECURITIES (11/28/18)
- SEC WARNS ADVISERS ABOUT SOLICITATION RULE VIOLATIONS (11/1/18)
Most Read – November 2018
- CCOS LIABLE FOR FAILING TO “MEANINGFULLY” IMPLEMENT COMPLIANCE PROGRAMS (11/12/18)
- INSUFFICIENT COMPLIANCE RESOURCES COST FIRM AND CEO (11/8/18)
- SEC WARNS ADVISERS ABOUT SOLICITATION RULE VIOLATIONS (11/1/18)
- SEC IS EXAMINING REGISTERED FUNDS AND ETFS FOR OVERSIGHT, POLICIES, AND CONFLICTS (11/9/18)
- ADVISORY CLIENTS DID NOT RECEIVE PROMISED FEE BREAKS (11/20/18)