In August 2024, Respondent filed 18 Forms 13F, which covered the period from the quarter ending December 31, 2019, to the quarter ending March 31, ...
Because the Respondent met the definition of “large trader,” Respondent was obligated to file an initial Form 13H with the Commission promptly after qualifying
Multi-hatted CCOs on a culture of compliance, SEC adopts new Reg NMS rules, 12 municipal advisors settle off-channel communications cases, fee increases are material, cybersecurity ...
The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications
Consider your 'vulnerabilities' to being used for money laundering when crafting your P&Ps, including the investment products you offer, investment recommendations, distribution channels, intermediaries used ...
Be careful giving a CCO too many hats to wear. FinCEN warns 'multiple additional job duties' 'generally would not fulfill" the requirement to have an ...
Advisers caught in a spate of enforcement actions over the new marketing rule, dissecting your coming AML obligations under FinCEN's new rules, lessons from recent ...
The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations
RCW and industry regulators have a plethora of AML guidance for you
The SEC asserts Randolph Abrahams made numerous misstatements in newsletters shared with investors