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CCO Liability (177)
Your search for CCO Liability returned 177 results.
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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 ...
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 ...


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