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The Mormons Settle with the SEC for $5M

March 7, 2023 by Eugene Grygo

The Mormons Settle with the SEC for $5M

A settlement between the SEC and The Church of Jesus Christ of Latter-day Saints and its investment management company got lost in the media shuffle amid the overshadowing crypto-related enforcement stories. Late last month, the SEC announced it had settled with Ensign Peak Advisers, a non-profit entity operated by the Mormon Church, and with the… Read More >>

Filed Under: FTF Bull Run Blog, Securities Operations, Data Management, Operational Risk, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Opinion, Minding the Gap, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: back office, data management, Form 13F, SEC

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