Tag: Compliance
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
The SEC has fined a registered investment adviser for failing to adopt and implement written policies and procedures reasonably designed to detect problems with its securities pricing.
January 05, 2021
Tags: Compliance, Compliance Policies, SEC Enforcement, Valuation
Senior staff from several SEC Divisions and Offices joined together on November 19 to present a virtual, half-day CCO outreach event focused on investment adviser and investment company compliance issues.
November 24, 2020
Tags: CCO, Compliance, Examinations
The SEC’s Asset Management Advisory Committee has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization.
November 10, 2020
Tags: AMAC, Compliance, Coronavirus, COVID-19, E-Delivery, Electronic Delivery
SEC’s Peirce Calls for Framework to Provide Guidance on CCO Personal Liability
SEC Commissioner Hester Peirce has once again raised concerns about personal liability of CCOs and the lack of SEC guidance in this area.
October 27, 2020
Tags: CCO, Compliance, Hester Peirce, SEC Enforcement
SEC to Hold Virtual Compliance Outreach Program on November 19
The SEC will be holding a virtual compliance outreach program for CCOs and other senior personnel at investment companies and investment advisory firms on November 19.
October 09, 2020
Tags: CCO, Compliance
How to Improve Your Compliance Program
In this article, Michelle Jacko explores ways to improve your Compliance Program regardless of work environment, be it onsite or remote.
September 09, 2020
Tags: Columns, Compliance, Compliance Corner
SEC Fines PE Fund Adviser $350,000 for Misallocating Expenses to Fund Clients
The SEC has settled charges with a Florida-based private equity fund adviser for misallocating costs and expenses to its real estate fund clients.
August 20, 2020
Tags: Compliance, Fees and Expenses, Private Equity, SEC Enforcement
IAA Comments on DOL’s Proposed Fiduciary Exemption
The IAA has submitted a comment letter to the Department of Labor on that agency’s proposed fiduciary exemption.
August 10, 2020
Tags: Compliance, Digital Advice, DOL, Fiduciary
SEC Charges Adviser in Connection with Trade Allocations to Day-Trading Clients
The SEC has charged a Connecticut-based investment adviser in connection with its allocation of trades to clients.
August 10, 2020
Tags: Allocation, Compliance, Disclosure, SEC Enforcement, Trading
Business Continuity Planning related to COVID-19 is now the top concern of investment management compliance professionals – edging out Cybersecurity, which had headed their rankings of hot topics for six consecutive years.
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
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