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Total: 50 results found.
Page 1 of 3
Investment Adviser Charged By SEC For Failing To Adopt Proper Cybersecurity Polices And Procedures
(Matching tags: securities and exchange,fines,cybersecurity,cyber security,sec)
On September 22, 2015 the
announced that a St. Louis-based investment adviser has agreed to settle charges that it failed to establish the required cyber
urity policies and procedures in advance ...
Tuesday, September 22, 2015
The SEC Has Published A Cybersecurity Preparedness Guide, Will You Pass The Audit?
(Matching tags: sec,cybersecurity audit,exam,OCIE)
urities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) will be conducting examinations of more than 50 registered broker-dealers and (RIA) registered ...
Thursday, April 17, 2014
Cybersecurity Top Risk For Financial Firms
(Matching tags: cybersecurity,FINRA,advisors,data breach,sec)
The recent massive customer data breaches that have occurred at well-known retailers is causing the government and businesses to take a deeper look into cyber
Tuesday, April 08, 2014
An Open Letter To SEC Chair Mary Jo White: Please Modernize The RIA Testimonial Rule So That Consumers Could Rely On The Web To Connect Them With The Best Advisors
(Matching tags: content marketing,client feedback,regulation,investment advisors,registered investment advisors,client communications,sec,Social Media)
Dear Mary Jo: The
urities and Exchange Commission needs to modernize – or at the very least provide greater clarity -- about its rule prohibiting RIAs and IA reps from using anything ...
Saturday, November 09, 2013
SEC Rewards Whistleblower With $150,000 Payout; This Is One Part Of Dodd Frank That Is Working
(Matching tags: sec,compliance,fraud)
urities and Exchange Commission today announced an award of more than $150,000 to a whistleblower whose tips helped the agency stop a scheme that was defrauding investors. While the ...
Monday, November 04, 2013
Culture Of Compliance
(Matching tags: compliance,sec)
We all hear about maintaining a “culture of compliance,” as required by the
. We are reminded of this concept constantly and it feels as if it’s seared into our brains. It feels ...
Tuesday, October 01, 2013
Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard
(Matching tags: financial planning coalition,fiduciary standard,FPA,CFP Board,NAPFA,Dodd-Frank,fiduciaries,FINRA,sec)
The Financial Planning Coalition (FPC), in a letter to the
urities and Exchange Commission released today, argues convincingly for the adoption of a fiduciary standard. FPC—a union of the CFP ...
Monday, July 08, 2013
SEC Proposes Long-Awaited Money Market Fund Reforms To Protect Investors From Runs; Agency Seeks Comments On Proposals
(Matching tags: sec)
urities and Exchange Commission today voted unanimously to propose rules that would reform the way that money market funds operate in order to make them less susceptible to runs that could harm ...
Thursday, June 06, 2013
In A Show Of How The SEC Is Tightening RIA Compliance, A Chicago Advisor Is Barred From Securities Business
(Matching tags: compliance,RIA compliance,sec)
RIAs better be accurate in disclosing how much money they manage. The
urities & Exchange Commission suddenly seems interested in such disclosures. Umesh Tandon, 37, owner and chief compliance ...
Monday, April 22, 2013
SEC Approves New Identity Theft Rules
(Matching tags: sec,ID Theft,identity theft,SEC Rule)
According to a new rule adopted by the
on April 10 financial firms will be required to establish identity-theft prevention programs. ...
Monday, April 15, 2013
Identity Theft Rule Adopted By SEC; Provides New Guidance And Red Flags About How BDs and RIAs Must Protect Clients
(Matching tags: sec,identity theft,compliance)
urities and Exchange Commission yesterday adopted rules requiring broker-dealers, mutual funds, investment advisers, and certain other entities regulated by the agency to adopt programs to detect ...
Thursday, April 11, 2013
Former SEC Chair Schapiro Reportedly Joining Consulting Firm; Another Former Regulator Cashes In On Contacts In A Subtle, Legal Form Of Corruption
(Matching tags: regulation,sec)
With the news today that former
urities and Exchange Commission Chair Mary Schapiro is taking a job at Promontory Financial Group, another powerful former regulator is headed to a lobbying and consulting ...
Tuesday, April 02, 2013
One-Time CFP, Long-Time Financial Planner Charged With Stealing Client Money On Top Of Previous Charges Of Tax Fraud
(Matching tags: fraud,sec)
A one-time CFP who was criminally charged with tax fraud in January had his assets frozen yesterday after the
urities and Exchange Commission filed a civil complaint against him, his firm, and his partner ...
Wednesday, March 20, 2013
News Analysis: The Real Story Behind The SEC Warning That It Has Found “Widespread” Violations By RIAs Of The Custody Rule
(Matching tags: RIA compliance,Dodd-Frank,sec)
urities and Exchange Commission’s Office of Compliance Inspections and Examinations today warned RIAs that it is finding “widespread” non-compliance with the custody rule under ...
Tuesday, March 05, 2013
SEC Staff Says It Will Make Conflicts Of Interest Of Dually-Registered RIAs An Areas Of Focus Of RIA Examinations In 2013
(Matching tags: compliance,sec,RIA compliance)
urities and Exchange Commission is focusing inspections of RIAs on conflicts of interest that rise from being dually registered with a broker-dealer as well as an RIA. The agency says its ...
Friday, March 01, 2013
Former SEC Chair Levitt Says Since SEC Did Not Pursue Money Fund Reform, FSOC Certainly Should
(Matching tags: marketing,mutual funds,sec)
chair Arthur Levitt says the
blew its chance to fix the money fund problem. He refused to sign a letter prohibiting another regulatory body (namely, the Financial Stability Oversight Council ...
Tuesday, February 26, 2013
If SEC Won't Fix Its Own Problems, Other Regulatory Bodies Will
(Matching tags: Dodd-Frank,regulation,sec)
Taxpayers have been waiting since 2008 for the
to take action to prevent a repeat scenario of the worst economic crisis since the Great Depression. But the Financial Stability Oversight ...
Friday, February 22, 2013
SEC Will Not Be Able To Implement Dodd-Frank Fully If Sequestration Hits And Budgets Are Not Increased
(Matching tags: deficit,sec,staff)
chair Elisse Walter says the commission cannot implement fully the reforms dictated by the Dodd-Frank Act unless Congress grants a budget increase. The
as well as other financial regulatory ...
Thursday, February 14, 2013
Massachusetts Calls On SEC To Prohibit RIAs From Using Mandatory Arbitration Clauses, Saying It Is "Troubling," Widespread And Not Consistent With Fiduciary Practice
(Matching tags: RIA compliance,RIAs,compliance,Dodd-Frank,fiduciaries,sec)
retary of the Commonwealth of Massachusetts, in a public letter, is calling on the U.S.
urities and Exchange Commission to prohibit Registered Investment Advisers from inserting mandatory arbitration ...
Wednesday, February 13, 2013
POGO Report Shows Possible Influence Of Wall Street Executives On SEC Policy And Enforcement Decision Making
(Matching tags: Morgan Stanley,sec,regulation)
A report published by the Project on Government Oversight (POGO) just a few weeks after Mary Jo White was nominated to head the
shows that there was a revolving door between Wall Street executives ...
Monday, February 11, 2013