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


 
INVESTMENT ADVISER LAWS & REGULATORY ACTIONS
7/18/2019 | Content area: Investment Adviser
This matter involves Respondent Rege’s mispricing of investments for a private fund for which he served as a portfolio manager, resulting in artificia...
7/15/2019 | Content area: Investment Adviser
These proceedings arise out of Nomura’s failure reasonably to supervise two traders so as to prevent and detect their violations of antifraud provisio...
7/12/2019 | Content area: Investment Adviser | Broker-Dealer
The criminal information against Chun alleged that, from 2009 to 2014, Chun misappropriated client funds by, among other things, obtaining loans again...
7/11/2019 | Content area: Investment Adviser
According to the indictment filed in Stark County, Ohio, Hannan defrauded nine individuals in a series of transactions between 2014 and 2017. Hannan w...
7/08/2019 | Content area: Investment Adviser
I want to address a general issue—whether it is appropriate to maintain a regulatory distinction between broker-dealers and investment advisers. A num...
7/02/2019 | Content area: Investment Adviser
Glick and FMS provided clients with false account statements that hid Glick's improper use of client funds to pay personal expenses and his improper t...
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
SEC Charges Two Individuals for Fraud and Issuer for Unregistered Sale of Securities Litigation Release No. 24526 / July 1, 2019 U. S. Securities an...
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...
6/28/2019 | Content area: Investment Adviser
Baby on Board: Remarks before the Society for Corporate Governance National Conference Commissioner Hester M. Peirce   San Diego, California ...
6/27/2019 | Content area: Investment Adviser | CPO/CTA
Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman...
6/27/2019 | Content area: Investment Adviser
SEC Obtains Final Judgment Against Virginia Investment Adviser Charged with Fraud Litigation Release No. 24517 / June 27, 2019 Securities and Exchan...
6/27/2019 | Content area: Investment Adviser
The overcharges included expenses related to Society of Worldwide Interbank Financial Telecommunication (or “SWIFT”) messages, a secured messaging net...
6/25/2019 | Content area: Investment Adviser
Chahal fraudulently solicited approximately $1.4 million from about 50 individuals by falsely claiming to be an experienced and successful trader who ...
6/24/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (“Commission”) is adopting amendments to its auditor independence rules to refocus the analysis that must be co...
6/24/2019 | Content area: Investment Adviser
LaGuardia, Jr., a resident of Lavallette, New Jersey, who controlled the investment adviser, L-R Managers, LLC, misappropriated investor money from pr...
6/21/2019 | Content area: Investment Adviser
On June 27, 2018, the SEC charged Edward Lee Moody, Jr. and his wholly-owned investment adviser firm CM Capital Management, LLC, with operating a Ponz...
6/20/2019 | Content area: Investment Adviser
Rios did knowingly and willfully conspire with Jaswant Singh Gill and others known and unknown, to commit offenses against the United States, specific...
6/18/2019 | Content area: Investment Adviser
Given the influential role of proxy advisors, companies started to realize that they needed to pay attention to proxy advisors’ recommendations. For e...
6/18/2019 | Content area: Investment Adviser
As a result of this conduct, Wedbush, at times, facilitated short selling and enabled the settlement of trades with ADRs that were not actually backed...
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