Cari Hopfensperger at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases. Topics include:
- SEC Takes Rare Action against Advisers for Voting Proxies
- Large Adviser Fined for Paying Referral Fees without Telling Clients
- SEC Charges Investment Adviser with Custody Rule and Related Violations
- SEC Finds Failures to Supervise Rogue IAR and Implement Sufficient Policies and Procedures
- Inadequate Comp-Related Conflict Disclosures Continue
