Home Investment Advisers IA Rules & Regulatory Actions

IA Rules & Regulatory Actions

Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility
Channing did not disclose to all affected Clients that some Clients in certain block trades paid a lower commission rate than other Clients who participated ...
Lee's trading enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits
MS sold customers more expensive share classes when less expensive share classes were available
OCIE releases results of IC exams
SEC claims adviser failed at its fiduciary duty; advisers fires back
This is the SEC new proposed advertising rule
SEC proposes changing the advertising rule for the first time in decades
Settlement follows criminal case plea that could land the CCO in jail
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case Litigation Release No. 24645 / October 16, 2019 Securities and Exchange Commission v. Kevin B. ...
Headshot of Rick Fleming
Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate   ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
SEC Charges Registered Investment Adviser and Broker-Dealer with Defrauding Advisory Clients Litigation Release No. 24643 / October 15, 2019 Securities and Exchange Commission v. Cetera ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser INVP in connection with its mutual fund share class ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment advisers HTS and HTIN in connection with mutual fund share ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Essex Financial Services, Inc. in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Folger Nolan Fleming Douglas Capital Management, Inc. in connection ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Equity Services, Inc. in connection with its mutual fund ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Cargile Investment Management, Inc. in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Bill Few Associates, Inc. in connection with its mutual ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination