This content is from: Culture Church of Jesus Christ of Latter-day Saints Settles With SEC Over ‘Clone LLCs’ The regulator said that Ensign Peak Advisors, which manages investments for the church, had worked for nearly two decades to obfuscate the size of the organization’s equity portfolio. By Michael Thrasher February 21, 2023
This content is from: Portfolio Stepping Up SEC’s Enforcement Activity Robert Khuzami wants to put the teeth back into the SEC's Division of Enforcement after several years of benign neglect. By Stephen Taub November 08, 2009
Sponsored Court Ruling Will Not Deter SEC Enforcement The recent federal appeals court ruling overturning the Securities and Exchange Commission's rule requiring hedge fund adviser registration will not deter the SEC from pursuing enforcement actions against hedge fund advisers. July 19, 2006
This content is from: Premium SEC Charges Perceptive Advisors The regulator has accused the life sciences firm headed by Joseph Edelman of engaging in violations related to its SPACs. By Stephen Taub September 06, 2022
This content is from: Culture The SEC Brought More Charges This Year. Here’s Who They Targeted. More regulatory enforcements led to a 10 percent increase in total fines paid to the SEC. By Alicia McElhaney November 06, 2019
This content is from: Premium The SEC’s new guns Asset management enforcement co-chief Bruce Karpati lays down the law about insider trading, valuation of illiquid assets, side pocket investigations and expert networks By Lawrence Delevingne May 31, 2011
