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The CCO created a compliance committee where he documented his concerns and what actions he took
Some of his widowed victims came to him through an elder care placement center owned by his wife
Leap year means the filing of Form ADV updates moves up to March 30
The dual registrant will pay a $1.5 million penalty
A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...
OCIE considers "dozens" of potential risk factors when identifying exam targets
OCIE's 2020 exam priorities include "perennial risk areas" along with some new additions
The report found “significant failures” caused primarily by “systemic, longstanding, governance-level weaknesses” that can’t be addressed “without commensurate governance reforms”
“Take your time in producing your data” to examiners, recommends a CCO
If you’re part of a larger organization you could fall under the cyber reg
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
Be aware that once things settle down, staff will seek to reach loved ones above anything else
Ask for evidence that the software meets your requirements
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. ...
“I think it’s going to be a big year for adviser regulations”
Sample what your peers aim to achieve in the new year
These items become effective this year
Crypto firm has three months to refund any cash that investors demand back
“There is likely no greater threat to financial stability than a large-scale cyber incident”
Best ex has sat atop the agency’s list of issues for a long time
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