Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 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
9/17/2019 | Content area: Investment Adviser
This matter involves violations of Municipal Securities Rulemaking Board (“MSRB”) rules by MSSB. Between June 2013 and December 2017, MSSB recommended...
9/17/2019 | Content area: Investment Adviser
RJ Advisers’ policies and procedures required FAs and the Compliance Department to monitor the Inactive Accounts. Specifically, FAs were to “continual...
9/16/2019 | Content area: Investment Adviser
In 2015, the securities lending agent employee mentioned the conflict to the Respondents’ Chief Compliance Officer (“CCO”), advising him that, since 2...
9/13/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser for Defrauding Advisory Clients by Charging Improper Transaction Costs Litigation Release No. 24595 / September 13, 20...
9/13/2019 | Content area: Investment Adviser
Three Defendants Charged with $345 Million Fraud Agree to Permanent Injunctions Litigation Release No. 24593 / September 13, 2019 Securities and Exc...
9/13/2019 | Content area: Investment Adviser
Yanow engaged in a scheme to defraud A.W. Yanow convinced A.W. to provide Yanow with signed blank checks drawn on A.W.’s Stifel account, falsely telli...
9/13/2019 | Content area: Investment Adviser
According to a Stipulation for Consent Order filed by the CDS on March 3, 2019, the CDS alleges that, between December 2017 and February 2018, Levine,...
9/11/2019 | Content area: Investment Adviser
Apostelos pleaded guilty to one count of theft or embezzlement from an employee pension plan and one count of conspiracy to commit mail and wire fraud...
9/10/2019 | Content area: Investment Adviser
SEC Obtains Final Judgment Against Investment Adviser in Cherry-Picking Scheme Litigation Release No. 24589 / September 10, 2019 Securities and Exch...
9/05/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser with Fraud Litigation Release No. 24586 / September 5, 2019 Securities and Exchange Commission v. E. Herbert Hafen, C...
9/04/2019 | Content area: Investment Adviser
This Risk Alert provides an overview of the most common compliance issues identified by the Office of Compliance Inspections and Examinations (“OCIE”)...
9/04/2019 | Content area: Investment Adviser
The counts of the criminal information to which Sampson pled guilty alleged, inter alia, that he made material misrepresentations, and omitted to disc...
9/03/2019 | Content area: Investment Adviser
These proceedings arise as a result of registered investment adviser LWM’s breaches of fiduciary duty and disclosure failures in connection with its r...
9/03/2019 | Content area: Investment Adviser
It was alleged that between 2013 and 2016 while she was associated with the brokerage firm McKinley stole nearly $300,000 from the accounts of the eld...
8/29/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commissio...
8/29/2019 | Content area: Investment Adviser
SEC Charges Adviser Firm and Its Principals with Defrauding Retired NFL Players Litigation Release No. 24580 / August 29, 2019 Securities and Exchan...
8/27/2019 | Content area: Investment Adviser
SEC Charges Chicago-Based Investment Professional with Stealing Client Funds Litigation Release No. 24576 / August 27, 2019 Securities and Exchange ...
8/27/2019 | Content area: Investment Adviser
Browere engaged in a scheme to defraud numerous investors by, among other things, falsely representing the use of investor funds, the value of investm...
8/26/2019 | Content area: Investment Adviser
Indictment Issued Against Investment Adviser Named in SEC Action Litigation Release No. 24574 / August 26, 2019 United States v. Motty Mizrahi et al...
8/26/2019 | Content area: Investment Adviser
LWA’s compliance policies and procedures manual required investment adviser representatives to pre-clear and obtain written pre-approval before buyin...
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US