Carl Ayers
“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk alert. It points ...
You may well be among the millions of Americans shocked to learn of the widespread cyber hack of Equifax’s sensitive customer data to do what ...
If your fiscal year end requires you to update your Form ADV by November – or a material change prompts an early update – you ...
This week, representatives from the Investment Adviser Association are scheduled to meet with staff in OCIE and the Division of Investment Management about custody. The ...
SunTrust Investment Services knew it was just a matter of time before an SEC enforcement penalty would be handed down. In mid-2015, during a compliance ...
FINRA and the SEC have simultaneously released FAQs tied to rule 4210 and Exchange Act rules 15c3-1 (net capital rule) and 15c3-3 (customer protection), respectively, ...
Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for illicit ...
Advisers should review their compliance programs and practices in light of the topics noted in this Risk Alert. This information is intended to assist advisers ...
The recent U.S. Court of Appeals for the 2nd Circuit’s 2-1 decision affirming the insider trading conviction of a former portfolio manager hammers another nail ...