SEC whips out final orders for violations grounded in supervisory, oversight lapses
Final settlement orders announced last week include those against firms for infractions often based in compliance program lapses.
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Swiftly racing to the finish line, Gary Gensler’s SEC issued an array of announcements about recent settlements with recognizable businesses and even a few executives, including one chief compliance officer. The charges ranged from firms making misleading claims, supervisory failures, anti-money-laundering program failures and other compliance lapses.
Let’s dig in.