SEC

Be aware that examiners may question your logic for placing clients in certain share classes

Laurence Allen of ACP Investment Group stands accused of defrauding investors and misappropriating more than $13m.

A pair of private investment advisors and a fund they controlled hid millions in side deals with private real estate funds even while urging their clients to invest in the funds, the SEC alleges.

If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'