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Reps have long sought to take their clients with them to greener pastures. Now this trend is heating up thanks to an infusion of green ...
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The Commission wants the party to 'feel the financial penalty of the resolution'
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Another topic that remains hot for the advocate is risks related to private fund investing, especially for retail investors
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Take a peek at the SEC's revised regulatory agenda, be aware of this potential surprise following a regulatory action, see how PE is changing the ...
The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers
Firm charged with including impermissible confidentiality language in three settlement agreements with customers
Firm fined for failing to reasonably supervise the transmittal of customer funds through externally initiated ACH transfers by third parties
Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine
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This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
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Here's an example of a compliance P&P that outlines what must be reported to the firm under its code of ethics
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