News May 12, 2014 Issue

Examiner Discovery of More than $750,000 in Missing Assets Leads to Custody Rule Charges

It�s not easy to hide a loss of more than $750,000 in client assets from examiners. Nor is it a good idea to try.

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

Subscriber Log In

Forgot your password? Click Here.

Advanced Search

Current Issue

September 24, 2018

Audio Interviews

Top 10 Cybersecurity Steps to Take Now

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

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.

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.

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.

Watch Out for 5 Cybersecurity Myths

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

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.

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

News May 12, 2014 Issue

Examiner Discovery of More than $750,000 in Missing Assets Leads to Custody Rule Charges

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

Subscriber Log In

Current Issue

Audio Interviews

Top 10 Cybersecurity Steps to Take Now

Top Marketing Problems and Solutions

The Hidden Costs of Non-Compliance

Ethics or Compliance: Making the Choice

How to Read an SEC Enforcement Action

Watch Out for 5 Cybersecurity Myths

CCO Liability: How to Protect Yourself

Resources

ACA Compliance Group

Customer Service

ACA Webcasts

ACA Events & Education

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

Examiner Discovery of More than $750,000 in Missing Assets Leads to Custody Rule Charges

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

Subscribe to ACA Insight

Subscriber Log In