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

 
CUSTODY 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...
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...
12/26/2017 | Content area: Investment Adviser
Rogicki took advantage of his roles as investment adviser and trustee to the foundation by liquidating securities positions in the foundation's adviso...
12/22/2017 | Content area: Investment Adviser
TBA’s then Chief Compliance Officer informed the Commission staff that TBA had failed to comply with the Custody Rule’s requirement to engage an indep...
7/28/2017 | Content area: Investment Adviser
Respondents failed, however, until long after making the investments, to inform the investors in the foreign currency-focused fund that some of the fu...
7/25/2017 | Content area: Investment Adviser
This matter involves violations of the Advisers Act by Bradway Financial, a Commission-registered investment adviser, Bradway Capital, an investment a...
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...
1/19/2017 | Content area: Investment Adviser
From at least June 2008 through 2015, Brakeman knew that as BBE’s sole owner and employee, he had directed, controlled, and coordinated BBE’s activiti...
1/13/2017 | Content area: Investment Adviser | Broker-Dealer
From 2009 through 2015, for 15,152 advisory client accounts, MSSB inadvertently charged advisory fees in excess of what had been disclosed to, and agr...
8/15/2016 | Content area: Investment Adviser
Bollinger was responsible for adopting and implementing Fortius’ compliance program. Between 2003 and August 2012 (throughout the entirety of Oliver’s...
5/19/2016 | Content area: Investment Adviser | Private Fund
Blue Ocean’s internal policies and procedures established that Winkelmann, as Blue Ocean’s CEO and CCO, was responsible for Blue Ocean’s compliance pr...
5/03/2016 | Content area: Investment Adviser
Respondents failed reasonably to supervise Douglas E. Cowgill (“Cowgill”), the former Chief Compliance Officer (“CCO”) of Professional Investment Mana...
4/29/2016 | Content area: Investment Adviser
This matter involves repeated failures by SPC, an accounting firm, and Joseph A. Scolaro, an SPC partner, in connection with SPC’s examinations of cli...
4/14/2016 | Content area: Investment Adviser | Private Fund
TPGS failed to ensure that client securities were maintained by a qualified custodian. For example: (1) paper stock certificates for certain securitie...
12/14/2015 | Content area: Investment Adviser
Starting in at least 2009, Total Wealth and Cooper breached their fiduciary duties to their clients and investors through a fraudulent scheme to colle...
12/14/2015 | Content area: Investment Adviser
The disclosures also failed to adequately disclose that Total Wealth already had a significant number of revenue sharing agreements in place. For exam...
11/19/2015 | Content area: Investment Adviser
Kelly knew or was reckless in not knowing about, and substantially assisted, SBAM’s violations of the custody rule. Kelly executed the notarized offer...
11/19/2015 | Content area: Investment Adviser
The 2010 Order notwithstanding, SBAM failed to comply with the custody rule in the years that followed. SBAM neither submitted to a surprise examinati...
8/06/2015 | Content area: Investment Adviser
This matter involves violations by Respondents in failing to adequately complete requisite surprise examinations pursuant to Section 206(4) of the Adv...
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