Carl Ayers
Below is a 16-page data breach incident response plan. It provides the plans, procedures and guidance for the handling of data breach events at either ...
The SEC also points the finger at the CCO for filing and signing years’ worth of Form ADV brochures that allegedly contained “false and misleading ...
Should this latest proposal be finalized, institutional managers would, for the first time, face this same mandate but only for say-on-pay
What's inside the SEC's proxy voting proposal, the nuances of the custody rule hit an adviser, CCO blasted by the SEC and much more
These ETPs, however, can pose risks even to sophisticated investors, and can potentially create system-wide risks by operating in unanticipated ways when markets experience volatility ...
We are overdue for a comprehensive and consistent approach to the review of complex exchange-traded products and the sales practices issues that they present. We ...
Although required by LPL’s procedures, the LPL representative never verified that the identification document photograph matched Garcia’s physical appearance before processing the account opening paperwork
Redwood had custody of its clients’ Mortgage Company promissory notes because it had possession of and direct access to them, and it failed to comply ...
TCA and GP fraudulently inflated the TCA Funds’ net asset value and performance results through the recording of non-binding transactions
The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client