IA Rules & Regulatory Actions

Times Square when 6 ft social distancing was a myth. Captured this while enjoying an open air bus ride in this magnificent and lively place. It is one of the world's busiest pedestrian intersections, and a major center of the world's entertainment industry.
InSight advertised hypothetical performance on its public website without adopting and implementing policies and procedures reasonably designed to ensure that the hypothetical performance was relevant ...
Hispanic worker falling on stairs while holding cordless drill
On its public website and on various social media sites, GeaSphere included a promotional video called “The GeaSphere Difference” that made false and misleading statements
Senior couple consults with female real estate agent
The QPAM Exemption permits an investment fund holding assets of ERISA plans and IRAs that is managed by a ‘qualified professional asset manager’ (QPAM) to ...
Woman using laptop while sitting at home.
This final rule modernizes the internet advisers' rules to account for the evolution in technology and the investment advisory industry since the initial adoption of ...
A businessman covers his eyes and extends his arm in a futile effort to prevent the inevitable a series of heavy walls from falling on him.
The Commission alleged that in 2013, as CCO, Ronald Heineman ignored red flags and engaged in a scheme to manipulate the price of a stock ...
Male hand holding smartphone. Businessman using laptop computer and digital tablet while working in the cafe. Mobile app or internet of things concepts. Modern lifestyle in digital age.
Senvest failed to implement procedures to monitor whether its employees were following the firm’s policies concerning work-related communications .... At least three senior Senvest officers ...
Close-up stock photograph showing a touchscreen monitor being used in an open plan office. A woman’s hand is asking an AI chatbot pre-typed questions & the Artificial Intelligence website is answering
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
Woman holding ai icons with laptop
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
Lawyer or judge use magnifier glass look to the paper for inspection examination to the law case
Commission staff used Form PF data together with other information to identify hedge fund advisers whose reported data ― such as returns, exposures, liquidity ― ...
Just don't speak! Close up portrait of handsome cheerful mysterious silent man making hush gesture, isolated on gray background
Both of these agreements created conflicts of interest, because they created an incentive for 3D/L to use funds managed by the ETF Manager in 3D/L’s ...
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