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CCO Liability (173)
Your search for CCO Liability returned 173 results.
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12/26/2018 | Content area: Investment Adviser
Nadel fraudulently induced clients of RIA to invest tens of millions of dollars in what he falsely represented as a liquid, cash management investment...
12/21/2018 | Content area: Investment Adviser
In reality, Black Diamond managed no marketable assets at the time and has never met the minimum requirements for investment adviser registration with...
12/21/2018 | Content area: Investment Adviser
This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgea...
12/13/2018 | Content area: Investment Adviser
OCIE has made no secret of its interest in undisclosed compensation and failures to seek best execution. So the $598,000 in fines assessed against Lan...
12/12/2018 | Content area: Investment Adviser
L&C’s policies and procedures did not include any factors it considered when selecting a broker for its clients or how it obtained the most favorable ...
11/15/2018 | Content area: Investment Adviser
The life of Pennant Management, a Wisconsin advisory firm, would run 20 years. It may have continued if only its leader listened to its CCO, who warne...
11/06/2018 | Content area: Investment Adviser
During this time, Elste was aware that Pennant’s compliance program lacked sufficient resources but failed timely to address this deficiency, which co...
11/06/2018 | Content area: Investment Adviser
Pennant, an investment adviser, negligently failed to perform adequate due diligence and monitoring of certain investments contrary to representations...
9/25/2018 | Content area: Investment Adviser
The complaint alleged that Roberts knowingly provided substantial assistance to this scheme by among other things, tracking the funds’ losses or gains...
9/11/2018 | Content area: Broker-Dealer
These proceedings arise out of the failure by Cadaret Grant, Grant and Johnson (the “Supervisory Respondents”) reasonably to supervise Cadaret Grant’s...
8/30/2018 | Content area: CPO/CTA
Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annu...
8/14/2018 | Content area: Broker-Dealer
Throughout his employment at NW Capital, Morris reported to Fagan as his first-level supervisor. During the relevant period, Fagan also was the superv...
7/26/2018 | Content area: Investment Adviser | Broker-Dealer
Talk of CCO liability has diminished of late but two new SEC enforcement actions may spark some fresh whispers about the risks of the job.   In one, M...
7/24/2018 | Content area: Investment Adviser
The complaint also alleged that from at least 2012 through 2016, Jarrell offered and sold unregistered promissory notes issued by Providence Financial...
7/24/2018 | Content area: Broker-Dealer
Ryan, BISC’s Chief Compliance Officer during the relevant period, participated in, along with others from the firm, the firm’s development of procedur...
7/19/2018 | Content area: Investment Adviser
The elderly client had lost her husband only three months before when her adviser, George Taylor of Temenos Advisory ($107M in AUM), persuaded her to ...
7/19/2018 | Content area: Private Fund
Devlin, then a managing partner and the Chief Compliance Officer (“CCO”) of a private equity adviser (“Adviser”), arranged for an Adviser-managed fund...
7/18/2018 | Content area: Investment Adviser
Temenos Advisory, Inc. and George L. Taylor steered advisory clients and other investors, including senior citizens and individuals approaching retire...
7/17/2018 | Content area: Investment Adviser
Davis, acting on behalf of himself and DWM, engaged in conduct in violation of the South Carolina Uniform Securities Act of 2005 when he recommended t...
7/06/2018 | Content area: Broker-Dealer
Terracciano was serving as Aegis’ AML CO, Aegis failed to file Suspicious Activity Reports (“SARs”) on hundreds of transactions when it knew, suspecte...


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