SEC Announces an Increase in Enforcement Actions Filed in FY 2016

The SEC recently announced that, “in fiscal year 2016, it filed 868 enforcement actions … a new single year high for enforcement actions….  [It] included the most ever cases involving investment advisers or investment companies and the most ever independent or standalone cases involving investment advisers or investment companies.”

It’s further evidence of the fact that registered investment advisers, whether large or small, domestic or international, face ever-increasing challenges in the current business and regulatory environment.

We can help:

As experienced legal and compliance professionals, former senior regulators, and successful business managers, our Management Team and corps of knowledgeable Consultants at the SEC-FINRA COMPLIANCE Consulting Group recognize that regardless of size or business lines, firms need to have effective solutions to compliance and operational risk issues.  We also understand that as legislative and regulatory scrutiny has intensified, compliance costs have skyrocketed as well, with a potentially devastating impact on your business initiatives and goals.

We can help you reduce those costs and, at the same time, enhance your firm’s compliance efforts in a way that is appropriate for your specific regulatory needs and yet sensitive to your budget.

Our clients include registered investment advisers, broker-dealers, law firms, hedge funds/private fund advisers, insurance companies, and banks. We customize our consulting services to address each client’s specific needs in response to its compliance, regulatory auditing, and risk management requirements and responsibilities.

The SEC-FINRA COMPLIANCE Consulting Group has offices in the New York metropolitan area and Florida, with Consultants located throughout the United States.  For more information on the types of compliance, regulatory and risk management products and consulting services we provide and how we can be of assistance to you and your firm, please visit our website ( or contact us directly, either by telephone (1.800.SEC.9906) or e-mail (

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