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40 Act Blog - 5 new articles


Cybersecurity Risk Alert Posted by the SEC

OCIE issued a Risk Alert providing additional information concerning its initiative to assess cybersecurity preparedness in the securities industry....

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Hawaiian Adviser Fraudulently Raises Assets through a Web Site

The SEC brought an enforcement action against Keiko Kawamura of Honolulu, Hawaii for fraudulently raising assets from subscribers to a web site and...

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Transamerica Financial Advisors Failed to Give Advisory Fee Discounts Even After a Warning from OCIE

The SEC brought an enforcement action against Transamerica Financial Advisors, Inc. (“TFA”), a registered investment adviser and broker-dealer,...

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SEC Commissioner Aguilar Speaks on Issues Confronting the Mutual Fund Industry

SEC Commissioner Luis Aguilar spoke at a Mutual Funds Directors Forum event in Washington, D.C., about mutual fund industry issues. He began by...

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SEC Chairman White Speaks About Her Agency’s All-Encompassing Enforcement Efforts

SEC Chairman Mary Jo White spoke at the SIFMA Compliance & Legal Society Annual Seminar in Orlando, Florida, about the SEC’s...

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