{"id":1196,"date":"2021-12-15T21:18:12","date_gmt":"2021-12-15T21:18:12","guid":{"rendered":"http:\/\/localhost\/?p=1196"},"modified":"2021-12-15T21:18:12","modified_gmt":"2021-12-15T21:18:12","slug":"sec-charges-advisor-and-dual-hatted-cco-over-inadequate-disclosures-about-fee-mark-ups-form-crs-violations-continue-compliance-professional-development-and-leadership-inspiration-lessons-learned-an","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/sec-charges-advisor-and-dual-hatted-cco-over-inadequate-disclosures-about-fee-mark-ups-form-crs-violations-continue-compliance-professional-development-and-leadership-inspiration-lessons-learned-an\/","title":{"rendered":"SEC Charges Advisor and Dual-Hatted CCO Over Inadequate Disclosures About Fee Mark-Ups; Form CRS Violations Continue; Compliance Professional Development and Leadership Inspiration; Lessons Learned and Worth Reading for December 2021"},"content":{"rendered":"<p><strong>Lessons Learned<\/strong><strong>\u00a0 <\/strong><\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/complaints\/2021\/comp25238.pdf\"><strong>The War on \u201cMay\u201d Continues: SEC Charges Advisor and Dual-Hatted CCO Over Inadequate Disclosures About Fee Mark-Ups<\/strong><\/a><\/li>\n<li><strong>Form CRS Violations Continue.<\/strong> The SEC recently fined two more advisors for Form CRS violations similar to <a href=\"https:\/\/www.sec.gov\/news\/press-release\/2021-139\">27 enforcement actions<\/a> brought against broker-dealers and advisors in July.<\/li>\n<\/ul>\n<p><strong>Worth Reading, Watching, and Hearing <\/strong><\/p>\n<ul>\n<li><a href=\"https:\/\/www.foreside.com\/blog\/no-action-letters-replaced-by-marketing-rule\/\">SEC Pulls Years of No Action Letters Replaced by Marketing Rule<\/a>.<\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/speech\/roisman-cybersecurity-102921\">Cybersecurity: Meeting the Emerging Challenge<\/a>.<\/li>\n<li><a href=\"https:\/\/complianceandethics-org.cdn.ampproject.org\/c\/s\/complianceandethics.org\/how-to-nail-your-executive-presentation-5-best-practices-to-gain-leadership-support\/?amp\">How to Nail Your Executive Presentation \u2013 5 Best Practices to Gain Leadership Support\u00a0<\/a><\/li>\n<li><a href=\"https:\/\/www.inc.com\/nick-hobson\/ted-lasso-is-reinventing-leadership-proving-that-nice-leaders-can-and-should-finish-first.html\">Ted Lasso Is Reinventing Leadership and Proving That Nice Leaders Can (and Should) Finish First<\/a><\/li>\n<li><a href=\"https:\/\/www.complianceincontextpodcast.com\/episodes\/season2-e8\">Finding Your Career Path in Compliance<\/a><\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>Lessons Learned\u00a0 The War on \u201cMay\u201d Continues: SEC Charges Advisor and Dual-Hatted CCO Over Inadequate Disclosures About Fee Mark-Ups Form CRS Violations Continue. The SEC recently fined two more advisors for Form CRS violations similar to 27 enforcement actions brought against broker-dealers and advisors in July. Worth Reading, Watching, and Hearing SEC Pulls Years of &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/sec-charges-advisor-and-dual-hatted-cco-over-inadequate-disclosures-about-fee-mark-ups-form-crs-violations-continue-compliance-professional-development-and-leadership-inspiration-lessons-learned-an\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC Charges Advisor and Dual-Hatted CCO Over Inadequate Disclosures About Fee Mark-Ups; Form CRS Violations Continue; Compliance Professional Development and Leadership Inspiration; Lessons Learned and Worth Reading for December 2021<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":90,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1196","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1196","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/90"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1196"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1196\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1196"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1196"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1196"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}