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


 
BEST EXECUTION ENFORCEMENT ACTIONS
12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker a...
12/12/2018 | Content area: Investment Adviser
L&C’s policies and procedures did not include any factors it considered when selecting a broker for its clients or how it obtained the most favorable ...
9/13/2018 | Content area: Investment Adviser
Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party b...
8/24/2018 | Content area: Investment Adviser
FWA failed to disclose that it had a conflict of interest as a result of the additional compensation it received for those share class selection pract...
4/06/2018 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by registere...
4/06/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection and billing practices by PNCI, a registered investment adviser and broker-de...
4/06/2018 | Content area: Investment Adviser
These proceedings arise from a series of failures by Geneos, a registered investment adviser and broker-dealer, in connection with its mutual fund sha...
9/14/2017 | Content area: Investment Adviser
STIS did not adequately inform its advisory clients of the conflicts of interest presented by its IARs’ share class selections and the receipt by STIS...
8/01/2017 | Content area: Investment Adviser
Cadaret invested advisory clients in mutual fund share classes with 12b-1 fees instead of lower-fee share classes of the same funds that were availabl...
7/19/2017 | Content area: Investment Adviser | Broker-Dealer
This matter concerns KMS, a dually-registered investment adviser and broker dealer that failed, in its capacity as an investment adviser, to disclose ...
6/13/2016 | Content area: Investment Adviser
From at least 2000 through at least August of 2011, The Bank of New York Mellon (“BNYM”) and its predecessors, The Bank of New York (“BNY”) and Mellon...
1/14/2016 | Content area: Investment Adviser
Receipt of 12b-1 fees not only created a conflict of interest that was not adequately disclosed to EFG’s clients, but favoring 12b-1 funds over others...
12/22/2015 | Content area: Investment Adviser
These proceedings concern a series of unlawful prearranged trades conducted by a portfolio manager/trader formerly employed by registered investment a...
11/24/2014 | Content area: Investment Adviser
This case's settlement included a CCO being suspended for one year due to poor Form ADV disclosures and best ex issues.
9/18/2014 | Content area: Investment Adviser
These parties faced an enforcement action for alleged violations of the principal trading rule, poor Form ADV disclosures and a failure to seek best e...
7/28/2014 | Content area: Investment Adviser
This matter concerns breaches of fiduciary duty and best execution to certain advisory clients of a dually registered investment adviser and broker-de...
6/09/2014 | Content area: Investment Adviser
This proceeding arises from a fraudulent scheme to secretly pay trading commissions to Dennis Malouf, the former chief executive officer and majority ...
6/09/2014 | Content area: Investment Adviser
This proceeding arises from misconduct with respect to client bond trading by UASNM, Inc. (“UASNM”), a registered investment adviser, and its former c...
12/18/2013 | Content area: Investment Adviser
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