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SEC enforcement update: Lessons on compensation-driven conflicts
Recent cases highlight the SEC’s continuing focus on how financial incentives influence employee recommendations.
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Meridian Financial must pay $75,000 over Marketing Rule violations
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
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SEC fines Vanguard, Empower for misleading statements, conflicts of interest
Vanguard and Empower allegedly created conflicts of interest by incentivizing advisers to steer clients toward fee-based services, minus the requisite disclosure.
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Insider gains, family betrayal, and high-tech market gaming in key SEC cases
The SEC has recently closed three very different but equally brazen fraud cases, each a window into a distinct form of financial misconduct.
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SEC fines Transamerica for fiduciary disclosure failures
Transamerica Retirement Advisors failed to disclose financial conflicts tied to retirement rollovers, affecting thousands of clients.
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SEC fines Momentum Advisors, two officers $500,000+ over fiduciary breaches
Momentum Advisors LLC, along with its former COO and CCO, were charged with violations related to the misuse of portfolio company assets.
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Global Relay data report highlights adoption of AI by firms
AI query data as well as popular communications channels such as WhatsApp increasingly monitored by firms.
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Upskilling compliance, trust in AI and enforcement discussed at roundtable
Compliance professionals wrestled with current challenges at the latest Hedge Funds Global Relay event in London.