SEC Announces Enforcement Statistics for Fiscal Year 2022
by Ara Jabrayan | Jan 10, 2023 | Best Execution, Books and Records, Cherry-Picking, Chief Compliance Officer, Code of Ethics, compliance deficiencies, Compliance Violations, Conflicts of Interest, Deficiencies, Division of Enforcement, DOL Fiduciary Rule, Duty of Care, Fiduciary Duty, Investment Adviser Code of Ethics, Investment Adviser Representative, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Investment Adviser Compliance, SEC NEWS, SEC Rules, SEC Staff Bulletin, Standards of Conduct, Supervision Initiative
On November 15, 2022, the SEC announced its enforcement results for fiscal year 2022. Despite the lingering impact of COVID 19, the SEC filed 760 enforcement actions and recovered a record $6.439 billion in penalties and disgorgement on behalf of investors. The...DOL Announces Delay Of Key Provisions Of The Fiduciary Rule
by Ara Jabrayan | Aug 21, 2019 | Department of Labor, DOL Fiduciary Rule, ERISA
This week, the Department of Labor announced an official delay of the effective date for key provisions of its Fiduciary Rule. During the extended, special transition period, the Department of Labor has indicated it will decide whether to propose additional changes....Recent Posts
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