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SEC Increasing Enforcement Efforts for Public Pension Fund Service-Providers
Reuters Link to more items from this source
Nov. 10, 2014
"State Street Corp said on [November 10] it was responding to subpoenas from the U.S. Department of Justice and the [SEC] for information regarding its solicitation of asset servicing business of public retirement plans.... Separately, the SEC said it would increase its enforcement actions in the municipal market, encouraged by its success in recent cases. In the coming year, the SEC will focus on abuses in the pension fund arena, offering and disclosure fraud and broker-dealer abuses, according to Andrew Ceresney, its director of enforcement."

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