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Conflicts of Interest (125)
Your search for Conflicts of Interest returned 125 results.
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7/05/2019 | Content area: Investment Adviser
In an April speech, OCIE Director Peter Driscoll detailed five of his division’s exam priorities and core risk areas (IA Watch, May 9, 2019). An SEC e...
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...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
4/25/2019 | Content area: Private Fund
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligen...
3/21/2019 | Content area: Private Fund
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based firm a...
11/16/2018 | Content area: Investment Adviser
Peterson and his former colleague, James Polese, with securities fraud for engaging in various schemes to defraud their clients, including fraudulentl...
9/07/2018 | Content area: Investment Adviser
BB&T Investment Services failed to disclose sufficient facts to enable clients to determine that the compensation arrangement between BB&T Investment ...
8/30/2018 | Content area: Investment Adviser | Broker-Dealer
After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commissi...
8/23/2018 | Content area: Investment Adviser
The expectation from brochures provided to clients and Forms ADV filed with the SEC was that Merrill Lynch would use “disclosed investment quality sta...
8/20/2018 | Content area: Investment Adviser
Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill”), a registered investment adviser, failed to disclose that the portfolio manager evaluat...
7/16/2018 | Content area: Private Fund
This matter concerns disclosure violations arising from an undocumented and undisclosed $3 million dollar loan from Norman M.K. Louie (“Louie”), who a...
7/05/2018 | Content area: Private Fund
It is an oft-repeated refrain at industry conferences and in regulators’ speeches: fees and expenses of private equity fund advisers are a definite fo...
6/08/2018 | Content area: Investment Adviser
Many of your experienced peers say the growing complexity of business arrangements makes uncovering conflicts of interest a stubborn challenge.   As w...
6/08/2018 | Content area: Investment Adviser
There’s no mistaking that failures to disclose conflicts of interest tied to compensation are a focus of both SEC examiners and Enforcement. New York-...
6/05/2018 | Content area: Investment Adviser
Former deVere USA CEO, Benjamin Alderson, and a former manager, Bradley Hamilton, misled clients and prospective clients about the benefits of pension...
6/04/2018 | Content area: Investment Adviser
These proceedings arise out of investment adviser DVU’s failure to make full and fair disclosure to clients and prospective clients of material confli...
5/09/2018 | Content area: Investment Adviser
A peer shares the questions the compliance staff asks employees to discover potential new conflicts.
5/09/2018 | Content area: Broker-Dealer
These proceedings arise out of breaches of fiduciary duty by Barcelona, a municipal advisor based in Edinburg, Texas, and Hinojosa, Barcelona’s sole m...
4/24/2018 | Content area: Private Fund
This matter concerns an investment adviser’s disclosure failure regarding conflicts of interest between the adviser and its private equity fund client...
3/15/2018 | Content area: Investment Adviser
Undisclosed conflicts of interest and materially misleading disclosures in connection with the securities lending practices of two investment adviser ...


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