This grows out the Genius Act's call to solicit ways to prevent cryptocurrency fraud. Your comments are welcomed until Oct. 17
The calculation was inconsistent with the LPAs, amounted to improper double counting, and had the effect of lowering each Fund’s fee offset
A broker-dealer’s “policies and procedures must address not only conflicts of interest but also compliance with its Disclosure and Care Obligations under Regulation Best Interest”
Barouti would fill out the Investor Suitability Questionnaire and Subscription Agreement with his customers, including checking all boxes attesting to the customer’s high-risk tolerance, and ...
To apply substituted compliance for the Commission’s capital requirements, however, MUFG Securities EMEA was obligated under the SEC UK Entities Order to have made and ...
After discovering the violation, the adviser promptly conducted a review of its trading history and updated its trading practices and compliance P&Ps to prevent future ...
Munakata’s president acted as an authorized agent with power of attorney on five clients’ accounts so had access to and/or the ability to obtain ...
By moving those trades from his own account to some of his clients’ and customers’ accounts, Costello transferred his unrealized trading losses to some of ...
Markan solicited approximately ten of his brokerage customers from three separate states to invest, collectively, approximately $2.9 million in a purported private equity fund. Markan ...
Rather than responding that he didn't have any records responsive to the staff’s request, Moors created three documents entitled Annual Compliance Calendars and purported to ...