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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Five-year limit placed on SEC disgorgement penalties
The SEC must rethink how it collects billions of dollars through disgorgement now that the Supreme Court has imposed a five-year statute of limitations.
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Blog
Kokesh impacting SEC enforcement program
The U.S. Supreme Court's ruling in the case Kokesh v. SEC was a significant decision that has already had an impact on many parts of the Securities and Exchange Commission's enforcement program, according to a senior SEC enforcement official.
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News BriefRobinhood pays $30M in fines, restitution for faulty AML program, customer disclosures
Robinhood will pay nearly $30 million in penalties for violating Financial Industry Regulatory Authority rules with shortcomings in its anti-money launderingprogram, as well as supervisory and disclosure violations.
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News BriefFirm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.