News February 13, 2017 Issue

SEC Cherry-Picking Dragnet Yields Adviser Plea Bargain and Civil Settlement

Allocation of trade results that consistently favor an adviser�s own accounts over his clients are likely to gain the attention of government enforcement officials. One adviser just found that out the hard way.

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Audio Interviews

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.

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.

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.

SEC Exam Priorities and Changes

Investment Adviser Association president and chief executive officer Karen Barr on SEC exam priorities, changes in how the agency conducts exams, and what advisers should do to prepare.

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.

Webinars and Videos

Cybersecurity One Year Post-SEC Alert: What Investment Advisors Need to Know

Many investment advisers rank cybersecurity as their number one concern. Listen and view this webinar to find out just what reasonable precautions to put in place.

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News February 13, 2017 Issue

SEC Cherry-Picking Dragnet Yields Adviser Plea Bargain and Civil Settlement

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

Subscriber Log In

Current Issue

Audio Interviews

How to Read an SEC Enforcement Action

Top Marketing Problems and Solutions

Top 10 Cybersecurity Steps to Take Now

The Hidden Costs of Non-Compliance

Watch Out for 5 Cybersecurity Myths

CCO Liability: How to Protect Yourself

SEC Exam Priorities and Changes

Ethics or Compliance: Making the Choice

Webinars and Videos

Cybersecurity One Year Post-SEC Alert: What Investment Advisors Need to Know

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SEC Cherry-Picking Dragnet Yields Adviser Plea Bargain and Civil Settlement

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