Conquering Current Compliance Challenges
July 10, 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


 
FORM ADV ENFORCEMENT ACTIONS
7/02/2019 | Content area: Investment Adviser
A professional athlete, who was receiving non-advisory services from Parrish Group, responded to Davis’s recommendation that he open an investment adv...
7/01/2019 | Content area: Investment Adviser
On Behn’s recommendation, approximately 40 of Behn’s advisory clients invested more than $7 million in securities issued by Aequitas Commercial Financ...
5/28/2019 | Content area: Investment Adviser
In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clien...
5/09/2019 | Content area: Investment Adviser
Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided...
3/05/2019 | Content area: Investment Adviser | Broker-Dealer
While Valley Forge told clients that, “Similar services by other brokers may be offered at higher or lower prices elsewhere,” its rates were significa...
12/21/2018 | Content area: Investment Adviser
In reality, Black Diamond managed no marketable assets at the time and has never met the minimum requirements for investment adviser registration with...
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...
3/05/2018 | Content area: Investment Adviser
These proceedings arise out of Respondent Financial Fiduciaries’ non-disclosure of financial conflicts of interest and violations of the “Custody Rule...
1/03/2018 | Content area: Investment Adviser
These violations were accompanied by compliance breakdowns—LKL did not conduct requisite annual reviews and failed to implement its policies requiring...
12/21/2017 | Content area: Investment Adviser
In soliciting individual advisory clients to invest in mutual fund strategies managed by Atlas, Packerland recommended the purchase of a certain class...
10/26/2017 | Content area: Investment Adviser
Krueger favored his personal accounts over discretionary brokerage customer and advisory client accounts when he executed day trades or delayed alloca...
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...
8/15/2017 | Content area: Investment Adviser
Registrants outsourced their compliance responsibilities to Respondent Strategic Consulting Advisors, LLC (“SC Advisors”), a firm that offered complia...
8/15/2017 | Content area: Investment Adviser
As a result of the conduct described above, Osunkwo caused Aegis Capital’s violations of, Section 204 of the Advisers Act and Rule 204-1(a)(1) thereun...
8/04/2017 | Content area: Investment Adviser
Wilson registered Black Diamond with the Commission as an investment adviser. In the initial Form ADV registration statement Wilson signed on Black Di...
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...
6/30/2017 | Content area: Investment Adviser
During that time, Bantry Bay’s overstated fees resulted in the Bantry Bay Clients paying an annual rate of 4.9% of their assets under management – mor...
5/10/2017 | Content area: Investment Adviser
Barclays Capital, then a dually-registered investment adviser and broker-dealer, improperly charged certain advisory clients of its wealth and investm...
5/05/2017 | Content area: Investment Adviser
These proceedings concern material misrepresentations by Michelle M. Smith (“Smith”) and Source Financial Advisors, LLC (“Source”), the registered inv...
5/05/2017 | Content area: Investment Adviser
From January 2010 to August 2015 (the “Relevant Period”), TMG and Tellone allocated profitable day trades in a manner that was sometimes inconsistent ...
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