Andrew J. Ceresney

Big data driving SEC focus on disclosures, recommendations and security

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

SEC enforcement Kenneth Corbin May 16, 2017

SEC enforcement Kenneth Corbin May 16, 2017
SEC: Supervisory failures in UBS’ $548M sale of complex product

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

Penalties and fines Ann Marsh September 28, 2016

Penalties and fines Ann Marsh September 28, 2016
How 13 firms got caught up in SEC sweep

These investment advisories paid the price for passing along performance data faked by a third-party manager.

Regulatory actions and programs Ann Marsh August 26, 2016

Regulatory actions and programs Ann Marsh August 26, 2016
What's next in the crosshairs for SEC enforcement chief?

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

SEC regulations Ann Marsh August 16, 2016

SEC regulations Ann Marsh August 16, 2016