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The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...
New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...
Broker-dealer compliance officers have been handed a scoresheet for preparing for SEC exams checking on compliance with Reg BI via a new statement from the ...
"Failure to have adequate written policies and procedures and failure to have adequate supervisory and compliance oversight may indicate recurring issues in complying with Regulation ...
Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...
The Division’s new name reflects the important role that its expert staff play in support of the SEC’s mission to protect investors, maintain fair, orderly, ...
The Division’s new name reflects the important role that its expert staff play in support of the SEC’s mission to protect investors, maintain fair, orderly, ...
Lesson: Communicate with the entire team. Some examiners may be left out of the communications chain given they’re all working virtually
Keep your documentation of employee compliance training. Examiners asked for it, as well as a list of all principal transactions, cross trades and any loans ...
Compliance program rule issues perennially found on OCIE's "Top 5" deficiencies list
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