David Tutor

David Tutor

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Ongoing SEC Marketing Rule Enforcement Sweep Results in Charges Against Investment Advisers

On September 11, 2023, the Securities and Exchange Commission (SEC) charged and settled proceedings with nine registered investment advisers for misrepresenting hypothetical performance of advisory products in connection with...more

10/3/2023  /  Compliance , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Securities and Exchange Commission (SEC)

SEC Enforcement Actions Reflect Expansion of SEC’s AML Compliance Focus: Broker-Dealers, Investment Advisers, Registered...

The Securities and Exchange Commission (SEC) recently announced anti-money laundering (AML)-related charges against an individual registered representative for failing to escalate red flags of potentially suspicious activity,...more

9/29/2023  /  Anti-Money Laundering , Compliance , Enforcement Actions , FinCEN , Investment Adviser , Investment Company Act of 1940 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Suspicious Activity Reports (SARs)
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