To help compliance officers plan their regulatory calendars for 2019, we are pleased to share Hardin Compliance Consulting’s lists of regulatory requirements for Broker-Dealers and Investment Advisers. While not intended to be exhaustive, it does provide a monthly “to do” list to assist you in planning for the year ahead . . .
Now if we could just find someone to do this for the other aspects of our lives. . .
January Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
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December Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
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November Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
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Last week, at the Securities Enforcement Forum in Washington, DC, senior staff of the SEC’s Division of Enforcement shed light on risks that asset managers and fund boards should be aware of. Their comments followed a record enforcement year resulting in more than $4 billion in disgorgement and penalties. Fueled in part by data collection technology, the SEC brought 868 enforcement actions the past fiscal year. Approximately 20% involved investment advisers or investment companies, the highest percentage in history, including one that found a private equity adviser to be acting as an unregistered broker/dealer, and others that involved alleged insufficient disclosure around accelerated monitoring fees.
Read more here: SEC Enforcement Staff Touts Year of Firsts and Big Data