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IA Rules & Regulatory Actions

The Commission’s complaint alleged that Howard and a co-defendant raised approximately $4.1 million from about 20 investors—primarily former professional football players who were plaintiffs in ...
The settlement asserts Meredith Simmons shared the document with OCIE examiners without divulging when she really created it
The Commission is not imposing a penalty because TAM self-reported the above conduct, took prompt steps to remediate the violations
The misbehavior stopped only when personnel changed on the firm's treasuries desk
The new procedures also required the establishment of a Compliance Committee, composed of LCA’s CEO, CCO, and CFO...The Compliance Committee failed to meet on a ...
"to be eligible for an award, you must declare under penalty of perjury at the time you submit your information ... that your information is ...
To meet this fiduciary obligation, HWIS was required to provide its advisory clients with full and fair disclosure that is sufficiently specific so that they ...
Creative failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in connection ...
The agencies note that the effective date for the 2020 amendments is unchanged and continues to be October 1, 2020
Although Haupt conducted certain reviews of GGHC’s trading in 2017, she conducted no reviews for excessive trading or the impact of GGHC’s trading strategies or ...
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