News January 14, 2008 Issue

Adviser That Failed to Supervise Cherry-Picking Trader Hit With Fines

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Ethics or Compliance: Making the Choice

Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.

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Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.

The Hidden Costs of Non-Compliance

Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.

How to Read an SEC Enforcement Action

Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.

CCO Liability: How to Protect Yourself

Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.

Top 10 Cybersecurity Steps to Take Now

Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.

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News January 14, 2008 Issue

Adviser That Failed to Supervise Cherry-Picking Trader Hit With Fines

Full contents of this article are only available to paid subscribers.

Subscriber Log In

Current Issue

Audio Interviews

Ethics or Compliance: Making the Choice

Watch Out for 5 Cybersecurity Myths

The Hidden Costs of Non-Compliance

How to Read an SEC Enforcement Action

Top Marketing Problems and Solutions

CCO Liability: How to Protect Yourself

Top 10 Cybersecurity Steps to Take Now

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See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

Adviser That Failed to Supervise Cherry-Picking Trader Hit With Fines

Full contents of this article are only available to paid subscribers.

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