MarketsSEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
Sources · 3 reports
- U.S. SEC — Press Releases· 25d ago
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…
Read at source - U.S. SEC — Press Releases· 24d ago
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
Read at source - U.S. SEC — Press Releases· 24d ago
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…
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