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2 minute read
I recently spoke at the IA Watch/Regulatory Compliance Watch compliance conference in Philadelphia...
2 minute read
On August 14, 2018, the SEC settled an enforcement action involving a Registered Investment Adviser...
2 minute read
The SEC’s 2018 National Exam Priorities[i] clearly lays out five principals guiding the Office of...
1 minute read
Captain Obvious is a fictional character in commercials who is portrayed as a being a tall and thin...
2 minute read
In May 2018, the Securities and Exchange Commission (“SEC”) brought a case against Premium Point...
2 minute read
Ask people for a line from the Eagles song “Hotel California” and you can expect, “You can check...
3 minute read
As a compliance consultant, I have seen many versions of compliance policies and procedures for...
2 minute read
Back in December 2016 the Securities and Exchange Commission (“SEC”) brought a case against PIMCO...
5 minute read
It’s summer time, sunscreen in your pocket while you’re vacation to a popular, sunny getaway…or a...