Search for: "SECLaw Staff"
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22 Jul 2016, 10:34 am
He worked closely with PCAOB staff to promote the evolution of root cause analysis by auditors and the PCAOB to obtain a deeper understanding of the underlying causes of recurring audit deficiencies. [read post]
31 Aug 2017, 2:11 pm
I look forward to working with my new team, agency staff, and the Commissioners as we work to fulfill the SEC’s mission. [read post]
15 Jul 2019, 7:48 am
The RMBS investigation and ensuing litigation was conducted by staff in the Complex Financial Instruments Unit and the Boston Regional Office, including Susan Curtin, Kerry Dakin, Rua Kelly, Al Day and Celia Moore. [read post]
15 Mar 2019, 12:26 pm
This action evidences the vigilance of the SEC’s exam and enforcement staff in identifying investments advisers that exploit client relationships and harm investors. [read post]
9 Mar 2016, 11:41 am
“SEC enforcement staff continue to develop and refine analytical tools to uncover illicit trading activity and hold accountable those abusing the markets for their own financial gain,” said Joseph G. [read post]
16 Aug 2016, 10:37 am
Health Net further agreed to certify to Enforcement Division staff that it has complied with this undertaking. [read post]
15 Sep 2016, 7:36 am
Marietta-Westberg will leave the SEC to join the private sector.Prior to joining the SEC staff, Dr. [read post]
2 Mar 2009, 1:10 am
According to the article, he was absent during the discussions and bailout of Bear, he let Commissioner Atkins run loose, his policy that required staff to seek permission to seek penalties demoralized the agency.I am not so sure that we can lay the entire blame for the SEC's failures at the feet of Chairman Cox, but Time sure gives it a try. [read post]
30 Mar 2010, 8:18 am
Upfront - this piece is a bit unfair, but the allegations are amazing. [read post]
25 Aug 2021, 12:10 pm
The Securities and Exchange Commission today announced the appointment of Barbara Roper as Senior Advisor to the Chair. [read post]
7 Dec 2009, 8:00 am
There is a difference, and those millions of dollars would be better spent hiring staff and investigators so that exams and enforcement actions don't take years and years to complete. [read post]
29 Jun 2016, 9:25 am
I have been privileged to work with numerous talented and dedicated staff members and contribute to the Commission’s important international work. [read post]
25 Aug 2016, 9:02 am
These records will be useful to the Commission’s examinations staff in evaluating adviser performance claim, and could reduce the incidence of misleading or fraudulent advertising and communications by advisers.The amendments will be published on the Commission’s website and in the Federal Register. [read post]
24 Jun 2019, 9:13 am
Office staff, among other things, review all documents submitted to the Commission, track documents submitted to the Commission, schedule Commission meetings in accordance with the Government in the Sunshine Act, maintain records of official Commission actions, and provide public notice of those actions on the SEC.gov website and in the Federal Register. [read post]
16 Feb 2021, 8:36 am
The number of investigations thereafter rose.The Trump Administration limited that authority to senior officials, which reduced the number of investigations declined.On February 9, 2021 the Biden Administration made another change, and authorized senior officers in the Enforcement Division to approve the issuance of a Formal Order of Investigation.Returning this authority to the division’s experienced senior officers, who have a proven track record of executing it prudently, helps to… [read post]
31 Jul 2014, 10:00 am
During that period, Smith & Wesson’s international sales staff engaged in a pervasive effort to attract new business by offering, authorizing, or making illegal payments or providing gifts meant for government officials in Pakistan, Indonesia, and other foreign countries. [read post]
19 Nov 2015, 6:00 am
-based investment management firm agreed to pay $16.5 million to settle charges that it misled mutual fund investors and others with advertisements containing false historical performance data about AlphaSector, a major exchange-traded fund (ETF) portfolio strategy.SEC Announces Whistleblower Award of More Than $325,000The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement… [read post]
20 Sep 2017, 10:05 am
Tom's significant industry experience and leadership prior to and at the SEC will be invaluable to the experienced and dedicated staff in the New York examination program. [read post]
14 Aug 2014, 11:00 am
Most independent firms rely on the assistance of their in-house staffs as well as outside counsel such as my firm, for unique issues that arise, and in insuring that regulators understand the unique issues facing these firms.Larry Roth, the President of Cetera, a network of independent firms, has offered his thoughts on the future of the independent firm. [read post]
2 Aug 2017, 11:13 am
Esau will direct a staff of approximately 40 accountants, examiners, and attorneys responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across five southeastern states (Alabama, Georgia, North Carolina, South Carolina, and Tennessee). [read post]
