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compliance staff failed to create P&Ps to ensure that reps were being monitored when placing clients in inverse ETFs
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
Nearly 50 regulatory rules are being considered by the SEC
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
“It’s better to take a conservative position” and disclose that you’ll make more money in a rollover
A guide to help you comply with the custody rule
Download the latest quarterly compliance calendar from RCW
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
“Just start drafting. Start typing. The longer you wait to start the drafting process, the more challenging it’s going to be”
“There’ll be a lot more ads to approve” if the proposal is finalized
Some of his widowed victims came to him through an elder care placement center owned by his wife
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...
OCIE considers "dozens" of potential risk factors when identifying exam targets
Reconciliation touches client fees, trades, expenses, performance, trade errors, allocations, withdrawals and more
That result doesn’t sit well with the Investment Adviser Association
It doesn't always pay to listen to the boss
SEC FAQs to help you with Form ADV
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