Regulatory Compliance Watch: The SEC’s New Proposed Advertising Rule (Webinar)
December 3, 2019 @ 11:00 AM PST/2:00 PM EST | Speaker: Michelle L. Jacko, CSCP
Compliance Considerations of Portfolio Management and Trading
Proper Portfolio Management and Trading are Regulatory Priorities: In its 2019 Examinations Priorities Letter, the Securities and Exchange Commission (“SEC”), Office of Compliance Inspections and Examinations, listed Portfolio Management and Trading as SEC Examinations priorities.[1] Many Firms are unaware of … Read More
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
Episode 59: Preparing for Year-End
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
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
NSCP Currents – Year End Compliance Checklist Considerations for Investment Advisers
Lead Sr. Compliance Consultant Tina Mitchell‘s article, “Year End Compliance Checklist Considerations for Investment Advisers,” was featured in the October 2019 edition of the National Society of Compliance Professionals’ Currents.
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.
Cybersecurity Considerations to Address in Preparation for 2020
As 2020 looms on the horizon, Chief Compliance Officers (“CCOs”) should begin laying out their compliance roadmaps for the New Year. An area of review that should undoubtedly be a part of CCOs’ 2020 planning is cybersecurity. Cybersecurity remained at … Read More