Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

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

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
TRADING ENFORCEMENT ACTIONS
5/16/2019 | Content area: Investment Adviser
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife...
9/27/2018 | Content area: Investment Adviser
The manner in which Harrison effected the trades on behalf of Putnam resulted in undisclosed favorable treatment of certain advisory clients over othe...
9/20/2018 | Content area: Investment Adviser
Perkins reaped substantial profits at his clients' expense by cherry-picking trades. Perkins allegedly traded securities in World Tree's omnibus accou...
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...
8/27/2018 | Content area: Investment Adviser
Respondents marketed all of the Products and Strategies as “managed using a proprietary quant model,” and highlighted, when marketing certain of the P...
8/17/2018 | Content area: Investment Adviser
BKS had a compliance manual that included a policy for “Block Order Allocation.” This policy required that “All block order allocations will be fair a...
8/17/2018 | Content area: Investment Adviser
Denha allocated a greater proportion of profitable trades, i.e., trades that increased in price from the time of purchase in the omnibus account to th...
7/12/2018 | Content area: Investment Adviser
The Commission’s complaint alleged, in substance, that from at least January 2012 through July 2016, Strong Investment Management (“Strong”) and its c...
6/05/2018 | Content area: Investment Adviser
This proceeding arises from Freeman’s “cherry-picking” of profitable trades to benefit himself. From at least July 17, 2012, through mid-September 201...
3/08/2018 | Content area: Investment Adviser
This proceeding arises out of a fraudulent “cherry-picking” scheme carried out by Valor Capital Asset Management, LLC (“Valor”) and its principal, Rob...
2/21/2018 | Content area: Investment Adviser
The complaint alleges that for more than four years, Bronson traded securities in Strong's omnibus account but delayed allocating the securities to sp...
2/14/2018 | Content area: Investment Adviser
The Securities and Exchange Commission has obtained a final judgment against a Massachusetts-based portfolio manager at a major asset management firm ...
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...
10/26/2017 | Content area: Investment Adviser
Krueger knowingly cherry-picked profitable trades for his personal accounts to the detriment of the discretionary accounts. When a security appreciate...
9/25/2017 | Content area: Investment Adviser
The Commission’s complaint alleged that over a 27-month period, Peter J. Eichler, Jr. (“Eichler”), Aletheia’s majority owner, chairman, chief executiv...
9/12/2017 | Content area: Investment Adviser
First, he allocated favorable purchases to his personal accounts, while allocating losing trades to HFS client accounts. Typically, after purchasing a...
9/12/2017 | Content area: Investment Adviser
He carried out his fraudulent scheme by trading in an omnibus account and delaying allocation of those trades to a specific account until he had an op...
6/23/2017 | Content area: Investment Adviser
The SEC previously charged Breton and his firm Strategic Capital Management, LLC on January 25, 2017. The SEC's complaint alleges that Breton and Stra...
5/26/2017 | Content area: Investment Adviser
Balter allocated a disproportionate number of profitable trades to his own accounts and a disproportionate number of unprofitable trades to client acc...
5/09/2017 | Content area: Investment Adviser
The SEC's complaint alleges that David R. Humphrey, who worked at the SEC from 1998 to 2014, concealed his personal trading from the SEC's ethics offi...
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