- SEC Investor Advisory Committee to Examine Mandatory Arbitration Clauses in Adviser Agreements and Alternative Assets and Retail Investors at December 10 Meeting
- SEC Charges Kiromic BioPharma and Two Former C-Suite Executives with Misleading Investors about Status of FDA Reviews
- SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
- SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud
- SEC Announces Enforcement Results for Fiscal Year 2024
- SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports
- UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit
- SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud
- SEC Chair Gensler to Depart Agency on January 20
- SEC Charges Three Senior Executives in Two Actions Alleging Massive Bribery Scheme Involving Indian Energy Companies Adani Green and Azure Power
- SEC Charges BIT Mining with FCPA Violations in Connection with Bribery Scheme to Influence Members of Japanese Parliament
- SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations
- JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions
- SEC Announces New Members of Small Business Capital Formation Advisory Committee
- SEC Adopts Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies
Southern California Compliance Group
The Southern California Compliance Group provides an open forum for candid discussions with industry personnel and members to solve current compliance issues.
