"Since 2012, when Two Point first registered with the Commission, Two Point failed to adopt and implement reasonably designed compliance policies and procedures, and to ...
As UCB Advisers’ CCO, Garcia compliance duties related to securities, including penny stocks, and was tasked with ensuring that UCB Advisers and its IARs comply ...
"I have underscored that the compliance obligation belongs to the firm, not to the CCO. Reminding firms that compliance is their responsibility helps to ensure ...
The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...