On June 1, 2020, the National Futures Association (“NFA”) permanently barred Hong Kong-based commodity pool operator Bainbridge Asia Limited (“BAL” or the “Firm”) and its sole principal and associated person, Wai Man Yip, from membership and acting as a principal … Read More
Ask chief compliance officers what keeps them up at night and you’ll find the approval of marketing materials, social media communications, and other forms of advertising rank high on the list. Two factors have combined to cloud best practices for … Read More
On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020.
February 20, 2020 | Seattle, WA | Speakers: Michelle Jacko On February 20, 2020, CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in Seattle, WA.
February 12, 2020 | San Francisco, CA | Speakers: Michelle Jacko CEO Michelle Jacko will be presenting on “Anticipating the Inevitable, Preparing for the SEC in 2020,” for a Charles Schwab compliance event in San Francisco on February 12, 2020.
December 3, 2019 @ 11:00 AM PST/2:00 PM EST | Speaker: Michelle L. Jacko, CSCP
Our CEO Michelle Jacko’s article, “Legal Risk Management Tip: Common Compliance Violations Seen in 2018,” was featured in the January/February 2019 edition of Wolters Kluwer’s Practical Compliance Risk Management for the Securities Industry.
Fraudulent messaging that affects retail investment decisions come in many forms, but the applicable regulatory statutes apply across all circumstances. That includes the use of social media. On August 7, 2018, Elon Musk made the decision to publicly announce on … Read More
Last week, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections & Examinations issued a new Risk Alert titled, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers” which was generated as a result … Read More
On August 25, 2016, the SEC issued press release 2016-167 detailing the results of an enforcement sweep leading to settlements with thirteen investment advisers for advertising a third-party’s false performance claims.