Builder of Investment Models Deviates From Blueprints Employee’s Rogue Remodeling Costs Builder Plenty -
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered...more
5/8/2025
/ Algorithms ,
Annuities ,
Compensation & Benefits ,
Employee Benefits ,
Enforcement Actions ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Life Insurance ,
Registered Investment Advisors ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered investment advisers Two Sigma Investments LP and Two Sigma Advisers LP illustrates significant risks for investment...more
5/6/2025
/ Algorithmic Trading ,
Anti-Fraud Provisions ,
Cease and Desist Orders ,
Enforcement Actions ,
Financial Services Industry ,
Fraud ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Penalties ,
Private Funds ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations
The Mysterious Boundary Beyond Which “Personal” Relationships Jeopardize a Director’s Independence -
In a recent enforcement action, the SEC concluded that the relationship between James Craigie and an officer of Church &...more
2/11/2025
/ Blockchain ,
Board of Directors ,
BSA/AML ,
Consumer Insurance Products ,
Corporate Governance ,
EFTs ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Fiduciary Duty ,
Investment ,
Investment Contract ,
Publicly-Traded Companies ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Variable Insurance
For decades, the SEC has relied on its in-house administrative proceedings to enforce alleged violations under the federal securities laws, including under its own rules of practice....more
1/31/2025
/ Administrative Procedure Act ,
Administrative Proceedings ,
Constitutional Challenges ,
Employee Benefits ,
Enforcement Actions ,
Fifth Amendment ,
Judicial Authority ,
Retirement Plan ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Seventh Amendment
On September 23, 2024, the U.S. Department of Justice (DOJ) released updates to its Evaluation of Corporate Compliance Programs (ECCP) guidance — the framework prosecutors use to evaluate corporate compliance programs during...more
1/28/2025
/ Analytics ,
Artificial Intelligence ,
Compliance Management Systems ,
Corporate Governance ,
Data Protection ,
Department of Justice (DOJ) ,
Emerging Technologies ,
Enforcement Actions ,
Government Investigations ,
Regulatory Requirements ,
Risk Management ,
Whistleblowers