SEC Charges Chief Compliance Officer for Failure to Verify Information By Steve Quinlivan on 08/16/2017 … Continue Reading SEC Charges Chief Compliance Officer for Failure to Verify Information
OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers By Steve Quinlivan on 02/08/2017 … Continue Reading OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers
Trump Requires DOL to Reevaluate the Fiduciary Rule By Steve Quinlivan on 02/03/2017 … Continue Reading Trump Requires DOL to Reevaluate the Fiduciary Rule
House Passes Creating Financial Prosperity for Businesses and Investors Act By David Jenson on 12/06/2016 … Continue Reading House Passes Creating Financial Prosperity for Businesses and Investors Act
SEC Exams Looking for Whistleblower Violations By Steve Quinlivan on 10/24/2016 … Continue Reading SEC Exams Looking for Whistleblower Violations
SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts By Steve Quinlivan on 09/15/2016 … Continue Reading SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts
Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers By Steve Quinlivan on 09/08/2016 … Continue Reading Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers
SEC Busts Apollo for Disclosure and Supervisory Failures By Steve Quinlivan on 08/23/2016 … Continue Reading SEC Busts Apollo for Disclosure and Supervisory Failures
SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans By Steve Quinlivan on 06/28/2016 … Continue Reading SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans