This content is from: Culture SEC Fines Ares for Compliance Failures Tied to Portfolio Company The private equity firm should have done more surrounding compliance inquiries into material nonpublic information, according to the SEC. By Christine Idzelis May 27, 2020
This content is from: Culture SEC Charges PwC With Violating Independence Rules This is the second time the U.S. Securities and Exchange Commission has charged an auditing firm in recent months. By Alicia McElhaney September 23, 2019
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: Corner Office Morningstar Used Credit Analysts to Lure Business, Says SEC The ratings agency will pay a $3.5 million fine to settle conflicts of interest charges. By Alicia McElhaney May 15, 2020
This content is from: Culture ‘Way Better Than the Medallion Fund LP’ — and Other Things the SEC Won’t Let You Name Your Fund The regulator is looking to update a rule prohibiting firms from giving their funds “misleading” names. By Alicia McElhaney March 03, 2020
This content is from: Culture Ex-Goldman Banker Barred by SEC Over Role in 1MDB Scandal Tim Leissner consented to the SEC’s finding that he violated federal securities laws, according to an announcement from the commission. By Alicia McElhaney December 16, 2019
