- Posts by Robert R. Boeche II, Esq.Senior Associate
Mr. Boeche provides strategic legal counsel to investment advisers, broker-dealers, private funds and other financial professionals. Mr. Boeche advises clients on all aspects of formation, registration, and ongoing ...
An investment advisory firm in Florida whose principal and sole owner doubled as Chief Compliance Officer has been charged by the Securities and Exchange Commission for fraudulently overcharging its advisory clients.
The Office of Compliance Inspections and Examinations (OCIE) released a risk alert outlining findings of examinations it conducted as part of its Supervision Initiative...
One of the more complicated aspects of fiduciary responsibility rests with a firm's ability to adequately identify and disclose potential conflicts of interest. What may not appear to be a conflict can nevertheless violate securities laws whether it be a material misstatement or omissions in reports filed with the Securities and Exchange Commission (SEC).
In late March, 2018, the Certified Financial Planner (CFP) Board of Standards announced the unanimous approval of a new Code of Ethics and Standards of Conduct.
This replaces the current Code of Ethics, Rules of Conduct, and Financial Planning Practice Standards and Terminology for all CFP-licensed professionals.
The proper valuation of client assets is of critical importance for investment advisers. A failure on the part of firms to properly value assets adversely affects key areas of fund operations, including but not limited to: Over or under...
The Securities and Exchange Commission (SEC) announced it had settled charges against Brian Fettner, a Nevada resident, who illegally obtained and later made trades based on sensitive "insider" information he discovered while staying at the residence of a long-time...
Affinity fraud occurs when a perpetrator takes advantage of religious or ethnic communities, language minorities, senior citizens, or other identifiable groups.
The Securities and Exchange Commission ("SEC") recently released an investor bulletin to educate investors about trading suspensions...
Cybersecurity and information security protocols have become industry-wide priorities, both to the regulatory bodies that oversee our business practices and to the customers who trust that firms' policies and procedures are up-to-date and robust. This same principle extends also...
The statement that appears atop the Securities and Exchange Commission ("SEC") website reads as follows: "The Securities and Exchange Commission is currently open, fully staffed and focused on our mission. With a short-term Continuing Resolution signed into place, all...
- 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
- Office of Compliance Inspections and Examinations (OCIE)
- Investment Advisers
- 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
- Policies and Procedures
- Securities and Exchange Commission (SEC)