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Earlier this year when the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2018 examination priorities, OCIE stated…
On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk…
The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…
Just a couple decades ago, our market infrastructure was dominated by only a handful of securities exchanges. Fast forward to the present day, and there are now 18 national securities exchanges registered with the Securities and Exchange Commission (SEC) under Section 6(a) of the Securities Exchange Act of 1934 (“Exchange Act”), 44 Alternative Trading Systems (ATS) and over 200 brokerdealers that internalize their customers’ trades.
If you were asked to describe a hacker, what image comes to mind? If you’re like most, you are probably picturing unintelligible text flying across a monitor as young men in black hoodies attempt to break into networks, engaging in a very technical dance and speaking in terms the average layperson would not understand.
All too often, we hear how another elderly investor was taken advantage of by some type of fraudster. Even more frequently, we receive queries from registered investment advisers (“RIAs”) asking what they can do about an elderly client they feel is being financially abused by a caregiver or who is suffering from diminished capacity challenges.
Many private fund advisers are wondering: How does the DOL Rule apply to my business? Why does it apply to my business?
Ascendant/CSS San Diego Conference Another compliance conference is in the books. We had a great time in San Diego, and…
Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations…
Retail investors are confused! They fundamentally cannot differentiate between a broker-dealer and an investment adviser. And that has the SEC…
Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature,…
NEW YORK, NY – Compliance Solutions Strategies (“CSS”), the leading global RegTech platform backed by CIP Capital that enables compliance…
