Williams, the firm’s CEO/CCO, 'failed to provide the Commission with evidence to corroborate' the Form ADV filing claiming trillions in AUM
The benefits of self reporting violations, see who's pushing for a committee of CCOs, tips to satisfy your 13F obligations and much more
Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required
This was one of several new enforcement settlements announced regarding the responsibility to report beneficial owners. The SEC reminds that 'The duty to file is ...
The latest SEC off-channel communications cases involving an IA and a B-D have set a new fine floor: no civil penalty
Peirce and Uyeda question whether firms "have an achievable path to compliance" when it comes to off-channel communications
The full-day program for investment advisers and investment companies is aimed at assisting firms in enhancing their compliance programs
Prior to and after being approached by the Commission, Stifel enhanced its P&Ps, increased training on use of approved communications methods, and provided some personnel ...
The Commission requested documents in an unrelated investigation that revealed the use of off-channel and unpreserved communications. As a result, Glazer’s recordkeeping failures likely impacted ...
The firm gathered and produced emails and text messages, including those at senior levels, that were sent or received by text message on personal phones ...