compliance staff failed to create P&Ps to ensure that reps were being monitored when placing clients in inverse ETFs
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
Nearly 50 regulatory rules are being considered by the SEC
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
“It’s better to take a conservative position” and disclose that you’ll make more money in a rollover
A guide to help you comply with the custody rule
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
Download the latest quarterly compliance calendar from RCW