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Your search for All Articles in Regulatory Compliance Watch returned 11677 results.
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5/16/2019 | Content area: Investment Adviser
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up for the first time...
5/16/2019 | Content area: Investment Adviser
Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional inves...
5/16/2019 | Content area: Investment Adviser
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be p...
5/16/2019 | Content area: Investment Adviser
When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea...
5/16/2019 | Content area: Investment Adviser
Wade through an academic’s mumbo jumbo and new research leans toward saying investors sold annuities benefited when broker-dealers faced a fiduciary d...
5/16/2019 | Content area: Investment Adviser
5/16/2019 | Content area: Investment Adviser
his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces ...
5/16/2019 | Content area: Investment Adviser
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife...
5/15/2019 | Content area: Investment Adviser
Even though SEC Commissioner Hester Peirce supported “many” of the share class allocation settlements announced by the Commission’s Enforcement Divisi...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
5/09/2019 | Content area: Investment Adviser
When you and your staff calm down after an event that triggered the launching of your business continuity plan, know that the cyber bad guys could be ...
5/09/2019 | Content area: Investment Adviser
Nothing like calling out a real-world example in an attempt to persuade SEC commissioners that a proposal needs to be revised.   More than one adviser...
5/09/2019 | Content area: Investment Adviser
5/09/2019 | Content area: Investment Adviser
Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my arrival at t...
5/09/2019 | Content area: Investment Adviser
Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided...
5/08/2019 | Content area: Investment Adviser
Lots of people want the SEC to wade into a whole range of issues that are not properly within our purview. Increasingly, we are urged to tell companie...
5/08/2019 | Content area: Investment Adviser
The Enforcement Manual (“Manual”) is a reference for staff in the Division of Enforcement (“Division” or “Enforcement”) of the U.S. Securities and Exc...
5/06/2019 | Content area: Investment Adviser | Broker-Dealer
Rocco Roveccio, a New Jersey resident, recommended to seven customers a pattern of high-cost, in-and-out trading without any reasonable basis to belie...
5/03/2019 | Content area: Investment Adviser
We are proposing amendments to our rules and forms to improve the disclosure requirements for financial statements relating to acquisitions and dispos...
5/03/2019 | Content area: Investment Adviser
From approximately 2009 through March 2011, Gierten misappropriated a total of $39,000 from one of his clients, who was an elderly military veteran. G...


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