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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 ...
compliance staff failed to create P&Ps to ensure that reps were being monitored when placing clients in inverse ETFs
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).
Will OCIE use a firm’s “reliance on the temporary relief” as an excuse to examine an adviser?
A guide to help you comply with the custody rule
Download the latest quarterly compliance calendar from RCW
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
If an adviser uses the PPP money to pay the salaries of your employees you would need to disclose this fact
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
Examples of the areas the staff may focus on during examinations are discussed below
“It’s better to take a conservative position” and disclose that you’ll make more money in a rollover
“Just start drafting. Start typing. The longer you wait to start the drafting process, the more challenging it’s going to be”
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. ...
Some of his widowed victims came to him through an elder care placement center owned by his wife
“There’ll be a lot more ads to approve” if the proposal is finalized
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 ...
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
OCIE considers "dozens" of potential risk factors when identifying exam targets

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