Month: February 2017

Three of the six actions filed this week by the Commission were against registered investment advisers. One involved the misappropriation of funds, another centered on the failure to disclose a related party transaction and a third was based on the …

This Week In Securities Litigation (Week ending Feb. 10, 2017) Read More »

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The Commission’s inspection staff – OCIE – issued an Alert about its national inspection program earlier this week, highlighting risk areas for investment advisers. Any adviser facing an inspection would do well to review the alert (here). That point is …

IA Sanctioned Based On Risk Areas In OCIE Alert Read More »

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