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What is her statement about? The guidance from the Division of Enforcement Staff. The enforcement advisory offers guidance to the Division of Enforcement staff. The guidance is about: 1. Determining if the suggested civil monetary penalty is adequate for both general and specific deterrence, especially concerning repeat offenders. 2. Deciding

Wut Mean? The enforcement advisory offers guidance to the Division of Enforcement staff. The guidance is about: 1. Determining if the suggested civil monetary penalty is adequate for both general and specific deterrence, especially concerning repeat offenders. 2. Deciding on the necessity of a corporate compliance monitor or consultant and

Source: https://www.sec.gov/news/press-release/2023-224 Source 2: https://www.cftc.gov/PressRoom/PressReleases/8807-23 Senior officials from the Bank of England, Federal Deposit Insurance  Corporation, Commodity Futures Trading Commission, Securities and Exchange Commission, and Federal Reserve Board convened a hybrid meeting today to discuss certain issues relating

Source: Remarks at the NSCP National Conference Highlights: "The past two years have been marked by a large number of proposed and adopted Commission rules. Many of these rules affect asset managers, including some that originated outside of the Commission’s Division of Investment Management. Let’s take a

Examinations of Investment Advisers: As a fiduciary, an investment adviser owes a duty of care and a duty of loyalty to its clients. An adviser must, at all times, serve the best interest of its clients and not subordinate its clients’ interest to its own. In other words, an investment