In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
An investment adviser settled charges with the SEC for (i) misleading investors as to its ESG-related practices and (ii) failing to implement an AML program specific to its mutual funds business.
A registered representative reached a settlement with the SEC regarding his failure to report red flags to his firm's AML group in connection with a wire transfer from a customer's account to the account of a relative of that customer.
A broker-dealer settled charges with FINRA and multiple exchanges for failing to properly surveil its client broker-dealers for potential manipulative trading.
A broker-dealer settled SEC charges for failing to file Suspicious Activity Reports on "suspicious transactions that were executed on its Alternative Trading System."