Failure to supervise

Last week, attorneys argued in the D.C. Court of Appeals in Washington, D.C. over whether the SEC was fair in fining a former supervisor $310,000 ...

A very good reason may exist why the CCO at S.A.C. Capital Advisors wasn't identified in the SEC's civil action against owner Steven A. Cohen: ...

One gaping question left unanswered after reading the criminal indictment against S.A.C. Capital Advisors ($50B in AUM) in Stamford, Conn., is why wasn't the CCO ...

S.A.C Capital Advisors' Steven A. Cohen does face one charge, that failure-to-supervise allegation leveled against the billionaire hedge fund owner by the SEC (see related ...

You may be familiar with Ted Urban's story (IA Watch, April 1, 2013) but may never have heard of Matthew Collins. His case is on ...

Again last week the issue of the dearth in exams of investment advisory firms came up, with SEC Commissioner Elisse Walter calling for a solution ...

Lessons learned continue to come out of Ted Urban's story, the former general counsel at Ferris Baker Watts in Baltimore who faced being declared a ...

It's not just FINRA and the SEC targeting sales practices involving non-traded REITs. States can get in on the action, too, as shown by a ...

With continuing talk about CCO liability as supervisors (IA Watch, Oct. 29, 2012), it seemed appropriate to follow-up on a civil fraud case that named ...

There's a growing recognition that compliance officers crave guidance from the SEC following the Ted Urban case so as to reduce fears that they may ...