Find the Right GRC Solution

Search and compare GRC technology built for the problems you’re trying to solve

Compliance & Ethics

SEC Authorizes Transfer of Remaining Funds and Terminates IPG Investment Advisors Distribution Fund

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of the distribution fund established following enforcement action against IPG Investment Advisors, LLC. This order authorizes the transfer of any remaining or future infeasible funds to the U.S. Treasury, marking the conclusion of the remedial phase for this specific matter.

FCA Cancels Part 4A Permission for H A Performance Limited Due to Unpaid Fees

The Financial Conduct Authority (FCA) has officially cancelled the Part 4A permission of H A Performance Limited, effective August 12, 2026. This enforcement action resulted from the firm's failure to pay overdue regulatory fees and levies despite formal requests.

SEC Authorizes Transfer of Remaining Distribution Funds for Raymond James Financial Services

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of the distribution fund established following a 2019 enforcement action against Raymond James Financial Services Advisors, Inc. This order authorizes the transfer of any remaining unallocated funds to the U.S. Treasury, marking the conclusion of the remediation process related to share class selection disclosure failures.

SEC Authorizes Transfer of Remaining Distribution Funds for Wedbush Securities, Inc.

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of the distribution fund related to a 2019 enforcement action against Wedbush Securities, Inc. This order authorizes the transfer of all remaining, unreturned funds from the distribution pool to the U.S. Treasury.

SEC Authorizes Transfer of Remaining Distribution Funds to U.S. Treasury

The Securities and Exchange Commission (SEC) has approved the termination of a distribution fund related to an enforcement action against Coastal Investment Advisors, Inc. This order authorizes the transfer of all remaining unallocated funds from the fund to the U.S. Treasury.

SEC Authorizes Transfer of Remaining Distribution Funds and Terminates Provise Management Fund

The Securities and Exchange Commission (SEC) has approved the final accounting for a distribution fund related to a 2019 enforcement action against Provise Management Group, LLC. This order authorizes the transfer of all remaining, unrecoverable funds from the distribution pool to the U.S. Treasury and officially terminates the fund.

SEC Authorizes Transfer of Remaining Distribution Funds and Terminates Transamerica Fund

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of a distribution fund originally established to remediate disclosure failures by Transamerica Financial Advisors, Inc. This order authorizes the transfer of all remaining unallocated funds to the U.S. Treasury, marking the conclusion of this specific enforcement proceeding.