SEC enforcement

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.

The case in unusual because of Coinbase's high profile in the U.S. and status as a publicly traded company.

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

Some funds touting their environmental and socially responsible investments may be exaggerating.

Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.

A roundup of this week's news includes advisors on the move, new hires and SEC enforcement.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.

Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.