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SEC Acting Enforcement Director Marc P. Berger To Depart The Commission

SEC Acting Enforcement Director Marc P. Berger To Depart The Commission
Date
12/01/2021
The Securities and Exchange Commission today announced that Marc P. Berger, Acting Director of the Division of Enforcement, will conclude his tenure at the agency this month. Mr. Berger joined the Commission as Director of the New York Regional Office in December 2017 and was named Deputy Director of the Division of Enforcement in August 2020.
Under Mr. Berger s leadership, Enforcement staff pursued significant cases across the entire spectrum of the securities industry, with a focus on impactful and timely actions that protected investors and promoted market integrity. Mr. Berger focused on enhancing the efficiency and effectiveness of the Enforcement Division as well as the Division of Examinations programs in New York, better positioning the staff in both Divisions to address emerging threats and pursue misconduct. Mr. Berger prioritized the promotion of diversity and in ....

New York , United States , Cornell University , New York Stock Exchange , Fordham University , Marcp Berger , Eladl Roisman , Richardm Berman , Biosciences Corp , Office Of Minority , Products Initiative , Division Of Examinations , Global Co , Division Of Enforcement , Credit Suisse Securities United States , Diversity Committee , Exchange Examinations Programs , Herbalife Nutrition Ltd , Bluecrest Capital Management , Industries Inc , Brixmor Property Group , York Regional Office Investment Adviser Company , Risk Examination Team , Robinhood Financial , Deutsche Bank , University Of Virginia School Law ,

SEC.gov | Acting Enforcement Director Marc P. Berger to Depart the Commission

FOR IMMEDIATE RELEASE
Washington D.C., Jan. 12, 2021
The Securities and Exchange Commission today announced that Marc P. Berger, Acting Director of the Division of Enforcement, will conclude his tenure at the agency this month. Mr. Berger joined the Commission as Director of the New York Regional Office in December 2017 and was named Deputy Director of the Division of Enforcement in August 2020.
Under Mr. Berger s leadership, Enforcement staff pursued significant cases across the entire spectrum of the securities industry, with a focus on impactful and timely actions that protected investors and promoted market integrity. Mr. Berger focused on enhancing the efficiency and effectiveness of the Enforcement Division as well as the Division of Examinations programs in New York, better positioning the staff in both Divisions to address emerging threats and pursue misconduct. Mr. Berger prioritized the promotion of diversity and inclusion across the Enf ....

New York , United States , Cornell University , New York Stock Exchange , Fordham University , Marcp Berger , Eladl Roisman , Richardm Berman , Biosciences Corp , Office Of Minority , Products Initiative , Division Of Examinations , Global Co , Division Of Enforcement , Credit Suisse Securities United States , Diversity Committee , Exchange Examinations Programs , Herbalife Nutrition Ltd , Bluecrest Capital Management , Industries Inc , Brixmor Property Group , York Regional Office Investment Adviser Company , Risk Examination Team , Robinhood Financial , Deutsche Bank , University Of Virginia School Law ,

SEC Fines Private Fund Adviser for Hiding Truth About Trading Resources and SEC Settles with Large Pricing Vendor for Inadequate Valuation Policies and Procedures: Lessons Learned and Worth Reading, Watching & Hearing for January 2021 | Hardin Compliance Consulting LLC

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SEC Fines Investment Adviser $170 Million for Multiple Disclosure Failures. UK-based investment adviser BlueCrest Capital Management Limited (BlueCrest) recently agreed to return $170 million to former investors to settle charges levied by the SEC involving disclosure failures, material misstatements, and misleading omissions. The SEC found that BlueCrest quietly transferred its top traders from its flagship client fund, BlueCrest Capital International (BCI), to an internal fund and left trading for the client fund in the hands of a trading algorithm that was set up to replicate some of the trading activity of BlueCrest’s live traders. Unfortunately for BCI investors, the algorithm, by and large, underperformed and resulted in inferior returns. ....

Jaquelinem Hummel , Jenniferl Cagadas , Bluecrest Capital International , Data Pricing Reference , Bluecrest Capital Management Limited , Investment Adviser , Multiple Disclosure , United Kingdom Based , Securities Act , Advisers Act , Vendor Nailed , Complex Financial Instruments Unit , Preference Data , ப்ளூகிரெஸ்ட் மூலதனம் சர்வதேச , தகவல்கள் ப்ரைஸிஂக் குறிப்பு , ப்ளூகிரெஸ்ட் மூலதனம் மேலாண்மை வரையறுக்கப்பட்டவை , பல வெளிப்படுத்தல் , ஒன்றுபட்டது கிஂக்டம் அடிப்படையிலானது , பத்திரங்கள் நாடகம் , விற்பனையாளர் அறைந்தார்கள் , சிக்கலான நிதி கருவிகள் அலகு , குறிப்பு தகவல்கள் ,