Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
ADVERTISING/MARKETING ENFORCEMENT ACTIONS
1/28/2019 | Content area: Investment Adviser
The SEC charged Present and F-Squared in 2014 with misleading investors about the AlphaSector strategy, the flagship product of F-Squared which Presen...
12/21/2018 | Content area: Investment Adviser
This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgea...
12/21/2018 | Content area: Investment Adviser
Wealthfront retweeted certain tweets from its clients on its Twitter account that constituted testimonials, which investment advisers are not permitte...
12/20/2018 | Content area: Investment Adviser
Sterling, a registered investment adviser, made material misstatements and omissions to its clients and prospective clients in advertising the back-te...
9/18/2018 | Content area: Investment Adviser
This matter involves violations of the Advisers Act and certain rules thereunder by CPI, a registered investment adviser, that: (i) distributed hundre...
8/31/2018 | Content area: Investment Adviser
MFS also falsely claimed that the hypothetical portfolio was based on MFS’s own quantitative stock ratings dating back to the mid-1990s, even though b...
7/10/2018 | Content area: Investment Adviser
Between March 2015 and March 2016, Schwartz was a cause of four registered investment advisers’ violations of the testimonial rule under the Advisers ...
7/10/2018 | Content area: Investment Adviser
HBA violated, and Biel caused HBA to violate, the testimonial rule under the Advisers Act by publishing on the internet advertisements containing test...
7/10/2018 | Content area: Investment Adviser
Eyster maintained a public website that advertised financial planning and investment advisory services tailored to physicians. The website had a “Test...
7/10/2018 | Content area: Investment Adviser
Greenfield hired a marketing consultant named Dr. Leonard Schwartz (“Schwartz”) and his company, Create Your Fate, LLC (“Create Your Fate”), both base...
7/10/2018 | Content area: Investment Adviser
Romano Brothers violated the testimonial rule by publishing two videos containing client testimonials about Romano Brothers and the advice and service...
4/27/2018 | Content area: Investment Adviser
The judgment permanently enjoins Present from future violations of Sections 206(1), 206(2), 206(4) and 207 of the Advisers Act and Rule 206(4)-8, and ...
4/16/2018 | Content area: Investment Adviser
Arlington, a registered investment adviser, issued misleading advertisements about its investment performance in written communications to clients and...
3/29/2018 | Content area: Investment Adviser
The Commission’s case against Present resulted in a trial before a jury beginning in September 2017. In October 2017, after hearing fifteen days of ev...
3/22/2018 | Content area: Investment Adviser
The SEC charged Present and F-Squared in 2014 with misleading investors about the AlphaSector strategy, the flagship product of F-Squared which Presen...
12/08/2017 | Content area: Investment Adviser
As an adviser that often relied on subadviser or other third-party-produced performance and marketing materials, both in hiring or retaining subadvise...
12/08/2017 | Content area: Investment Adviser
Ameriprise had inadequate written policies and procedures for evaluating and monitoring the accuracy of advertisements or performance information wher...
12/08/2017 | Content area: Investment Adviser
The documents also contained material misstatements concerning the inflated, hypothetical, and backtested performance track record of the Fund’s sub-a...
8/31/2017 | Content area: Investment Adviser
Mr. Navellier and his firm defrauded their clients and prospective clients, misleading them about the performance track record of the "Vireo AlphaSect...
2/08/2017 | Content area: Investment Adviser
Between at least 2011 and October 2014, JSA disseminated marketing materials containing representations that JSA had “never, not once, taken even so m...
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