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How Robust is Your Annual Review Process?

Federal regulations require investment advisers and registered investment companies to review their compliance policies and procedures annually to ensure adequacy.  Core Compliance & Legal Services, Inc. recently published a Risk Management Update (“RMU”), which discusses Securities and Exchange Commission (“SEC”) … Read More

Inaccurate Trade Data Costs Firm $4.25 Million

On July 14, 2015, the Securities and Exchange Commission (“SEC”) brought an enforcement action against OZ Management LP (“OZ”), an SEC-registered investment adviser for giving inaccurate trade information to certain broker-dealers. The SEC’s final order, which was issued upon OZ’s … Read More

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