Episode 71: Considerations for Robo-Advisers
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
Episode 68: Practical Tips for Completing and Filing Forms ADV and CRS
On episode 68 of the CCO Buzz, Managing Director, Consultation Services, Tina Mitchell offers her practical tips for completing and filing Forms ADV and CRS.
Episode 60: Are You Disclosing All Financial Compensation Conflicts?
On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions, published by the SEC, that provide guidance on disclosure by investment advisers of compensation arrangements and surrounding conflicts.
SEC Charges Investment Advisers for Failing to Disclose Conflicts of Interest
Strategic Planning Group (“SPG”) agreed to settle charges with The Securities and Exchange Commission (“SEC”) for failing to disclose a conflict of interest by consenting to a cease-and-desist order, censure, and civil penalties of $200,000. Its principals, David A. Rourke and … Read More
NSCP Webinar: Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS
November 21, 2019 @ 10:00 AM PST/1:00 PM EST
Hefren Tillotson, Inc. Settles Charges of Undisclosed Compensation
Registered investment adviser and broker-dealer Hefren-Tillotson, Inc. agreed to settle charges from the Securities and Exchange Commission (“SEC”) for undisclosed compensation it received from its unaffiliated clearing broker. The firm will pay disgorgement of $254,060, prejudgment interest of $45,905 as … Read More
Episode 58: Principal Trading & Agency Cross-Transactions
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
Firm’s Willful Lack of Disclosure to Investors Results in $5.5M Fine
On Monday, September 16, 2019, the Securities and Exchange Commission settled charges against Marvell Technology Group for misleading investors when it engaged in an undisclosed revenue management scheme in order to meet publicly issued revenue guidance.
Episode 56: Proxy Voting for Investment Advisers
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
It’s a Good Time to Review Fee Disclosure for Accuracy & Transparency
When it comes to the all-important topic of management and other fees or expenses, investment advisors are charged with the fiduciary responsibility of making certain they disclose all related information comprehensively and transparently.