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When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t ...
Nobody likes to be jerked around, including SEC enforcement staff
The case centers on the way the Commission replaces its ALJs
A peer shares the advisory firm's soft dollars checklist
This short video acquaints the new CCO at an advisory firm with fundamental compliance topics to be aware of
ESG and mutual fund names are two proposals the SEC will be taking up
Bond-Nelson lied repeatedly during SEC testimony and refused to return from a restroom break late in the afternoon of the second day.... Tournant advised Taylor ...
Bond-Nelson was an Allianz managing director and portfolio manager for a complex options trading strategy known as Structured Alpha
Taylor was a managing director at Allianz Global Investors U.S., serving served as co-lead PM for a complex options trading strategy sold to approximately 114 ...
“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not ...

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