{"id":565,"date":"2017-03-02T18:04:58","date_gmt":"2017-03-02T18:04:58","guid":{"rendered":"http:\/\/localhost\/?p=565"},"modified":"2017-03-02T18:06:43","modified_gmt":"2017-03-02T18:06:43","slug":"not-throwing-away-your-shot-relying-on-compliance-consultants-to-defend-regulatory-actions","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2017\/03\/02\/not-throwing-away-your-shot-relying-on-compliance-consultants-to-defend-regulatory-actions\/","title":{"rendered":"Not Throwing Away Your Shot: Relying on Compliance Consultants to Defend Regulatory Actions"},"content":{"rendered":"<p>You are a CCO responsible for completing and filing Form ADV. You hire a compliance consultant to advise you on what information to include. You act in accordance with that advice, but you later find out that the SEC has instituted a proceeding against you and the firm due to the firm\u2019s inadequate disclosures.<\/p>\n<ul>\n<li>So, what now?<\/li>\n<li>How do you defend yourself and the firm in this proceeding?<\/li>\n<li>Is reliance on compliance consultants an available defense?<\/li>\n<li>Will that succeed?<\/li>\n<\/ul>\n<p>Who lives, who dies, and who tells your story (as Alexander Hamilton might say)?<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/portalresource\/lookup\/poid\/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdEoOJEoK3!\/fileUpload.name=\/2017-reprint-Not%20Throwing%20Away%20Your%20Shot.pdf\">Read More Here<\/a><\/p>\n<p>Additional contributor to this post:<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Brian-L-Rubin\">Brian L. Rubin<\/a>,\u00a0<a>brianrubin@eversheds-sutherland.com<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>You are a CCO responsible for completing and filing Form ADV. You hire a compliance consultant to advise you on what information to include. You act in accordance with that advice, but you later find out that the SEC has instituted a proceeding against you and the firm due to the firm\u2019s inadequate disclosures. So, &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2017\/03\/02\/not-throwing-away-your-shot-relying-on-compliance-consultants-to-defend-regulatory-actions\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Not Throwing Away Your Shot: Relying on Compliance Consultants to Defend Regulatory Actions<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":57,"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":[23,21],"tags":[],"class_list":["post-565","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/565","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\/57"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=565"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/565\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=565"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=565"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=565"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}