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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.
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Deutsche Bank unit to pay $25m to settle SEC AML and greenwashing charges
Enforcement actions addressed a failure to develop a mutual fund AML programme along with misstatements in its ESG investment process.
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Building a long-lasting culture of compliance
Use your annual review to set the right tone to build a culture of compliance and reduce risk.
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SEC roundup: Fee failures, fraud, improper trading and manipulated financial results
In one of this week’s cases, a company founder paid a data science professor to manufacture fake data, and an investment advisor firm failed to disclose fees of more than $4m.
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SEC roundup: Fraud schemes, misleading non-GAAP disclosure, and compliance failures
An $850m fraud scheme that funded a businessman’s lavish lifestyle features among the SEC’s charges this week.
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SEC amends safeguarding rule to enhance customer asset protection
Changes address concerns about client asset custody problems in the crypto sector.