EXAMS contacted AFSC’s CCO by email on October 14, 2020 to alert the CCO that the firm had failed to file Form CRS. AFSC, however, ...
Although AlphaCentric had delegated pricing responsibilities for the Fund to the Sub-Adviser in the sub-advisory agreement, AlphaCentric did not adopt policies and procedures to provide ...
Garrison Point failed to implement its compliance policies and procedures concerning its role in valuing Fund securities
The SEC's complaint claims the CCO "engaged in subterfuge to conceal her misconduct," including allegedly hacking into her colleagues’ computers
The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...
In 2015, Derren Lee Geiger became Cornerstone’s chief compliance officer with final responsibility for Cornerstone’s compliance program
Hansen was sentenced to 60 months in prison and ordered to repay $2.2 million
BNY Mellon IA compliance personnel were unaware before mid-March 2020 that quality reviews were not prepared for all Overlay Fund investments, and thus lacked pertinent ...
Upon deployment of the new version of its AML transaction monitoring system, Wells Fargo Advisors failed to perform sufficient testing to ensure that the system ...
FRIM had a conflict of interest when it recommended money market funds available as Sweep Account options