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


 
BOOKS AND RECORDS ENFORCEMENT ACTIONS
3/07/2019 | Content area: Investment Adviser
Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after he was con...
8/16/2018 | Content area: Investment Adviser
Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such p...
4/05/2018 | Content area: Investment Adviser
These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commissio...
8/15/2017 | Content area: Investment Adviser
Registrants outsourced their compliance responsibilities to Respondent Strategic Consulting Advisors, LLC (“SC Advisors”), a firm that offered complia...
1/26/2017 | Content area: Investment Adviser | Broker-Dealer
CGMI overcharged or caused to be overcharged at least 60,000 advisory client accounts an estimated $18 million in unauthorized advisory fees. These ov...
7/01/2016 | Content area: Investment Adviser
The SEC is investigating potential violations of the federal securities laws arising from the failure of Bantry Bay to produce required books and reco...
9/27/2013 | Content area: Investment Adviser
This case featured a father trying to hide the sins of his son. It also features books and records violations, among others.
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