Tag: compliance

This Week In Securities Litigation (Week ending August 31, 2018)

The Commission filed actions this week keyed to the use of financial models and controls. One group of cases centered on the Transamerica Companies. There untested, error ridden financial models were deployed. In another Moody’s was sanctioned for failing to

Tagged with: , , , , ,

Failure to Implement Compliance Program Spells SEC Liability for B/D

Compliance is critical for any organization. Investment advisers and broker-dealers are required, for example, to have effective, implement compliance procedures. Despite the benefits of constructing and maintaining an effective compliance system, ranging from enhancing the culture of the firm to

Tagged with: , ,
Top