With barely over a week left on Commissioner Luis A. Aguilar's tenure with the Securities and Exchange Commission ("SEC"), he summarized the changes he witnessed in the SEC during his seven years serving as Commissioner in his public statement...
The SEC’s challenges in implementing their own cybersecurity protocols could be similar to your firm. On December 16th, Commissioner Luis A. Aguilar of the Securities and Exchange Commission (“Commission”) released a public statement titled “Being a Responsible Steward: Ensuring...
Considerations that Businesses Should Keep in Mind Prior to Implementing a Transition and Business Succession Plan...
Five Broker-Dealers Ordered to Pay $18 Million in Restitution for Failing to Wave Class A Mutual Fund Share Charges...
The Securities and Exchange Commission (“SEC”) paid out an award totaling more than $325,000 to a former employee of an investment firm for supplying them with information regarding fraudulent activities at his former firm including specific information regarding the individuals...
Family Endowment Partners, L.P. (“FEP”), a Massachusetts registered investment adviser, and its owner Lee Dana Weiss (“Weiss”) have been accused of violating the antifraud provisions of the federal securities law and related Securities and Exchange Commission (“SEC”) antifraud rules. Furthermore,...
Succession planning, particularly related to retirement planning, transitioning to a new business model, or merging with a new team, can be complicated. JLG has created the following checklist to assist you navigate through various considerations. ...
According to a Securities and Exchange Commission (“SEC”) complaint filed in Riverside County, California, Paul Ricky Mata (“Mata”), David Kayatta (“Kayatta”) and Mario Pincheira (“Pincheira”) are accused of violating the antifraud provisions of Section 17(a) of the Securities Act of...
- Investment Adviser Wearing Multiple Hats Charged by SEC for Defrauding Clients
- Charging Fees for Inactive Accounts can be as Problematic as Churning
- SEC: Prudential Failed to Disclose Conflicts of Interest to Fund Boards
- SEC Charges Investment Bank Junior Analyst with Insider Trading
- SEC Files Charges in Fraudulent Token Manipulation Scheme
- OCIE Risk Alert: Guidance for Compliance, Supervisory and Disclosure Procedures
- Jury Returns Verdict for SEC in Case Against Broker Charged with Fraudulent Excessive Trading
- SEC Charges Investment Advisor with Defrauding Clients by Failure to Disclose Conflicts of Interest
- Charging Clients Fees Not Disclosed in Form ADV: State Street Settles with SEC for $88 Million
- The CFP's Revised Code of Ethics and Standards of Conduct Takes Effect
- Policies and Procedures
- Investment Advisers
- Office of Compliance Inspections and Examinations (OCIE)
- Form U5
- Ponzi Scheme
- Advisers Act
- Aging Clients
- Regulation Best Interest
- Due Diligence
- Virtual Currency
- Dodd-Frank Act
- Transition Services
- Private Equity
- Private Funds
- Personally Identifiable Information (PII)
- Government Shutdown
- Hedge Funds
- Regulatory Examinations
- Risk Alert
- Securities Law
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Broker Protocol
- Wells Fargo
- Securities and Exchange Commission (SEC)