The Compliance Desk

This Week’s SEC Enforcement Actions: Key Cases Impacting Fund Compliance (July 18–25, 2025)

7,300% Fake Profits: The CaaStle Case and the Cost of Due Diligence Blind Spots

Fixing Compliance Training: From Checkbox to Culture

Treasury Postpones IA AML Rule

SEC Enforcement Update: From Pre-Clearance to Ponzi: Key SEC Enforcement Actions Targeting CCOs and Fund Misconduct

Next Series -“Fixing Compliance Training – From Checkbox to Culture”

Another CCO Personally Liable For Fabricating Records

SEC Charges Former Investment Adviser for Failing to Adequately Disclose Conflicts of Interest, Overbilling, and Producing Backdated Compliance Documents - CCO Personal Liability

Part 3: SEC Marketing Rule Compliance Guide

Part 2: How to Avoid Becoming a Marketing Rule Enforcement Statistic

Welcome to The Compliance Desk - Part 1: SEC Marketing Rule Enforcement Is Here - What the Recent Penalties Mean for Your Firm