Code of Ethics

BGC deleted audio files for the recorded lines of eight registered representatives that were responsive to requests from the Commission staff for these records. As ...

Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...

Your compliance role can be so much easier when management supports you – and ever more painful when a firm’s owner overrules you.   A ...

Between at least 2011 and October 2014, JSA disseminated marketing materials containing representations that JSA had “never, not once, taken even so much as a ...

“A leopard can’t change its spots.” That saying appears to apply to Navnoor Kang. Three years ago, while serving as a VP at a well-known ...

Investment advisers’ and broker-dealers’ compliance manuals, codes of ethics, employment agreements and severance agreements are being scrutinized by SEC examiners to determine whether they contain ...

Recorded: October 18, 2016

Industry groups and brokerage firms embraced, in theory, a proposed overhaul of gifts and entertainment rules by FINRA, but said regulators should make further changes ...

It’s been nearly two years in the making but FINRA is now moving on proposed amendments and new rules tied to gifts, gratuities and non-cash ...

It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time since March (IA Watch, May ...