Investment Advisers

The report found “significant failures” caused primarily by “systemic, longstanding, governance-level weaknesses” that can’t be addressed “without commensurate governance reforms”
Check out this due diligence questionnaire
“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 defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
SEC states chief compliance officers, and other compliance staff play critically important roles at firms
Be aware that once things settle down, staff will seek to reach loved ones above anything else
Thanks go to Michael S. Caccese, Chairman of the Management Committee and Practice Area Leader - Financial Services at K&L Gates LLP, for giving us ...
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. ...
Predictions for 2020, your peers' compliance resolutions, new regulations coming this year
“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
We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...
This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)
Bart McDonald of Renaissance Regulatory Services in Boca Raton, Fla.
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”

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