Posts in Regulatory Examinations.
The SEC recently announced charges against an investment adviser, Premium Point Investments LP, and accused the adviser of engaging in intentional fraud - you can read the SEC's litigation release and find its Complaint containing the charges here. The SEC...
With the issue of investment advisers putting their clients into higher-fee share classes when a low-cost option is available continuing to be a problem - and the subsequent Share Class Selection Disclosure Initiative developed to combat the problem on a...
RSS Feed
Follow us on Facebook
Follow us on Twitter
Follow us on LinkedInRecent Posts
- Amadeus Wealth Advisors, Three Bridge Wealth Advisors Settle SEC Unlawful Proxy Charges
- 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
Topics
- Securities and Exchange Commission (SEC)
- Advisers Act
- Disclosures
- Policies and Procedures
- Cryptocurrency
- FINRA
- Investment Advisers
- Office of Compliance Inspections and Examinations (OCIE)
- churning
- ICOs
- Form U5
- Ponzi Scheme
- Broker-Dealers
- Aging Clients
- Due Diligence
- Virtual Currency
- Cybersecurity
- Regulation Best Interest
- Dodd-Frank Act
- Transition Services
- Whistleblower
- Defraud
- Advertising
- Private Equity
- Private Funds
- Investors
- Personally Identifiable Information (PII)
- Hedge Funds
- Regulatory Examinations
- Government Shutdown
- Risk Alert
- Securities Law
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Broker Protocol
- Privacy Policy
- Wells Fargo
- FAQs