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Leissner received more than $43M in illicit payments for his role
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
Download the latest quarterly compliance calendar from RCW
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
Some firms have already published their Form CRS. Here are some examples
A guide to help you comply with the custody rule
Will OCIE use a firm’s “reliance on the temporary relief” as an excuse to examine an adviser?
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
Examples of the areas the staff may focus on during examinations are discussed below
If an adviser uses the PPP money to pay the salaries of your employees you would need to disclose this fact
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
“It’s better to take a conservative position” and disclose that you’ll make more money in a rollover
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
“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. ...
“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 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

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