SERVICES
Investment Adviser Compliance
Broker Dealer Compliance
Family Office Compliance
Regulatory Reporting
FINRA cab Registration
INSIGHTS
Regulatory News
thought leadership
jOIN MAILING LIST
ABOUT
ABOUT US
Community Engagement
THOUGHT LEADERSHIP
MEDIA RELATIONS
CLIENT PORTAL
CONTACT US
Stay up-to-date
on recent enforcement actions, alerts, and regulatory news.
Get in touch
Join our mailing list
Get up-to-date Regulatory Compliance news direct to your mail, we promise not to spam
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk
January 27, 2025
Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions
January 27, 2025
Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failures
January 27, 2025
SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition
January 27, 2025
Vanguard to Pay More Than $100 Million to Resolve Violations Related to Target Date Retirement Funds
January 27, 2025
SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million from Advisory Clients
January 27, 2025
SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks
January 27, 2025
SEC Charges LPL Financial with Anti-Money Laundering Violations
January 27, 2025
SEC Charges Pair of Wells Fargo Advisory Firms and Merrill Lynch with Compliance Failures Relating to Cash Sweep Programs
January 27, 2025
SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models
January 27, 2025
SEC Charges Four Individuals for Long-Running Scheme to Unlawfully Trade in Advance of Numerous Follow-On Offerings
January 27, 2025
SEC Monitoring Impact of California Wildfires on Capital Markets
January 27, 2025
SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors
January 27, 2025
Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers
January 27, 2025
SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025
January 27, 2025
Next