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CCO Liability (188)
Your search for CCO Liability returned 188 results.
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9/17/2019 | Content area: Investment Adviser
RJ Advisers’ policies and procedures required FAs and the Compliance Department to monitor the Inactive Accounts. Specifically, FAs were to “continual...
9/12/2019 | Content area: CPO/CTA
The CEO of a purported CPO/CTA met his future CCO in the same spot where the fraudster lured many of his investors: church.   The congregant, Rafael M...
9/12/2019 | Content area: CPO/CTA
RELEASE Number 8007-19 September 12, 2019 CFTC Orders Chief Compliance Officer of Trading Firm to Pay $150,000 for Fraud and False Statements...
8/15/2019 | Content area: Broker-Dealer
In a potentially worrisome case for compliance officers, the SEC found that the former CCO of Merrimac Corporate Securities had violated FINRA rules b...
8/01/2019 | Content area: Broker-Dealer
The potential liability of compliance officers may be waning, but there are still some egregious cases where mischief leads to deep trouble for a comp...
7/05/2019 | Content area: Investment Adviser
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory ...
7/01/2019 | Content area: Investment Adviser
On Behn’s recommendation, approximately 40 of Behn’s advisory clients invested more than $7 million in securities issued by Aequitas Commercial Financ...
6/10/2019 | Content area: Private Fund
The Commission’s amended complaint alleged that David Goulding allowed his father to use the Funds’ assets to pay personal expenses which were not sup...
6/04/2019 | Content area: Private Fund
For most of the Relevant Period, the RMC consisted of Deer Park’s Chief Compliance Officer, who was a former geochemist and brother-in-law of Portfol...
5/30/2019 | Content area: Investment Adviser
Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement act...
5/28/2019 | Content area: Investment Adviser
In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clien...
3/15/2019 | Content area: Investment Adviser
Rogers was the chief operating officer of Talimco and a member of the firm’s investment committee from 2012 until his separation from the firm in 2017...
3/13/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce has picked up the mantle carried by former SEC Commissioner Dan Gallagher in openly supporting compliance staff (IA Wat...
2/14/2019 | Content area: Investment Adviser
The Commission’s complaint alleged that Respondent misappropriated at least $7.9 million from at least 15 investment advisory clients by perpetrating ...
1/02/2019 | Content area: Investment Adviser
However it came about that you were named the CCO of your firm, you need to know the basics of what the Investment Advisers Act of 1940 demands of you...
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 ...


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