Carl Ayers
This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing
Cantella’s revenue sharing was based on the amount of Cantella’s client assets in the Sweep Accounts. Cantella had a conflict of interest when it recommended ...
KMS lacked its own Incident Response Policy and used an Incident Response Policy tailored to a different Ladenburg subsidiary, which required completion of a particular ...
Cambridge did not require any other enhanced security measure to prevent similar compromises in the future, such as implementation of multi-factor authentication
The email account takeovers resulted in the exposure of Cetera Entities’ customers’ PII stored in the compromised email accounts. None of the compromised email accounts ...
The Commission would like to hear from you about your experiences with these platforms and their digital engagement practices
The Commission is issuing this Request related to the use and development of digital engagement practices by firms on their digital platforms
18 tips to help you ace your next SEC exam, Gensler hits the web, double-talking fees and much more
The pandemic has stretched the length of some exam calls, with some running up to five hours. Ask examiners ahead of a call what type ...
It’s been said there’s lots of money to be made when an adviser creates a special purpose acquisition company. Now a federal lawsuit claims the ...