Failure to supervise

This is a template for a supervision policy courtesy of Nancy Lininger of The Consortium in Camarillo, Calif. This can be helpful to firms after ...

Whether it's a myth or not that compliance officers are at greater risk of facing a failure-to-supervise charge, there are steps you can take to ...

That 1-1 Commission vote a few weeks ago dismissing the failure-to-supervise case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore ...

The sudden dismissal of the Commission's case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore, surprised even the defendant, came ...

Citing what it called "wholly inadequate" oversight of a faraway subadviser, the SEC last week fined and ordered repayment of advisory fees by Morgan Stanley ...

Ted Urban just won't go away. Now the SEC's Enforcement Division wants the full Commission to revisit the case against the former general counsel at ...

The SEC seemed to have its case against Ted Urban sealed tight. It didn't look good for theformer general counsel at Ferris Baker Watts in ...

Rhonda Breard filled the airwaves around Seattle with ads selling her financial advisory services using a line taken from the Beach Boys' song Help Me ...

This is a portion of a policy and procedure related to supervision at an RIA. This comes from Nancy Lininger with The Consortium in Camarillo, ...

Rose Rudden is looking at a $65,000 fine and at least a one-year bar from supervision after an administrative law judge sided with the SEC ...