trending Market Intelligence /marketintelligence/en/news-insights/trending/6C2fjJphCFWKuTKqEw0SQw2 content esgSubNav
In This List

Sterling Global Strategies fined by SEC

Blog

Banking Essentials Newsletter: 7th February Edition

Case Study

A Bank Outsources Data Gathering to Meet Basel III Regulations

Podcast

Private Markets 360° | Episode 8: Powering the Global Private Markets (with Adam Kansler of S&P Global Market Intelligence)

Blog

Banks’ Response to Rising Rates & Liquidity Concerns


Sterling Global Strategies fined by SEC

The U.S. Securities and Exchange Commission ordered Sterling Global Strategies LLC to pay $175,000 as civil money penalty for making material misstatements and omissions to its clients and potential clients in advertisement of back-tested performance of the Sterling Tactical Rotation Index.

The company's back-tested performance calculations contained errors and deviated from the pricing methodology, among other failings.

A cease and desist order was also issued by the SEC against Sterling Global.