{"id":991,"date":"2019-11-04T21:45:19","date_gmt":"2019-11-04T21:45:19","guid":{"rendered":"http:\/\/localhost\/?p=991"},"modified":"2019-11-04T21:45:19","modified_gmt":"2019-11-04T21:45:19","slug":"secs-relentless-pursuit-of-comp-related-conflict-disclosures-lessons-learned-from-sec-and-finra-cases-and-worth-reading-for-november-2019","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/11\/04\/secs-relentless-pursuit-of-comp-related-conflict-disclosures-lessons-learned-from-sec-and-finra-cases-and-worth-reading-for-november-2019\/","title":{"rendered":"SEC\u2019s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019"},"content":{"rendered":"<p><a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopfensperger<\/a>\u00a0at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases.\u00a0 Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5374.pdf\">SEC Takes Rare Action against Advisers for Voting Proxies<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5371.pdf\">Large Adviser Fined for Paying Referral Fees without Telling Clients<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/enforce\/ia-5344-s\">SEC Charges Investment Adviser with Custody Rule and Related Violations<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5361.pdf\">SEC Finds Failures to Supervise Rogue IAR and Implement Sufficient Policies and Procedures<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5363.pdf\">Inadequate Comp-Related Conflict Disclosures Continue<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/secs-relentless-pursuit-of-comp-related-conflict-disclosures-ria-and-bd-annual-renewals-come-due-finra-year-in-review-new-etf-rule-eliminates-need-for-exemptive-orders-zero-commissions\/\">Read more here<\/a>.<\/p>\n<p>&nbsp;<\/p>\n<p>&nbsp;<\/p>\n<p>&nbsp;<\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Cari Hopfensperger\u00a0at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases.\u00a0 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 &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/11\/04\/secs-relentless-pursuit-of-comp-related-conflict-disclosures-lessons-learned-from-sec-and-finra-cases-and-worth-reading-for-november-2019\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC\u2019s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"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],"tags":[],"class_list":["post-991","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.8 - aioseo.com -->\n\t<meta name=\"description\" content=\"Cari Hopfensperger at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases. 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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"},"aioseo_meta_data":{"post_id":"991","title":null,"description":null,"keywords":null,"keyphrases":null,"primary_term":null,"canonical_url":null,"og_title":null,"og_description":null,"og_object_type":"default","og_image_type":"default","og_image_url":null,"og_image_width":null,"og_image_height":null,"og_image_custom_url":null,"og_image_custom_fields":null,"og_video":null,"og_custom_url":null,"og_article_section":null,"og_article_tags":null,"twitter_use_og":false,"twitter_card":"default","twitter_image_type":"default","twitter_image_url":null,"twitter_image_custom_url":null,"twitter_image_custom_fields":null,"twitter_title":null,"twitter_description":null,"schema":{"blockGraphs":[],"customGraphs":[],"default":{"data":{"Article":[],"Course":[],"Dataset":[],"FAQPage":[],"Movie":[],"Person":[],"Product":[],"ProductReview":[],"Car":[],"Recipe":[],"Service":[],"SoftwareApplication":[],"WebPage":[]},"graphName":"","isEnabled":true},"graphs":[]},"schema_type":"default","schema_type_options":null,"pillar_content":false,"robots_default":true,"robots_noindex":false,"robots_noarchive":false,"robots_nosnippet":false,"robots_nofollow":false,"robots_noimageindex":false,"robots_noodp":false,"robots_notranslate":false,"robots_max_snippet":null,"robots_max_videopreview":null,"robots_max_imagepreview":"large","priority":null,"frequency":null,"local_seo":null,"breadcrumb_settings":null,"limit_modified_date":false,"ai":null,"created":"2024-11-01 17:51:10","updated":"2025-10-11 03:24:25","seo_analyzer_scan_date":null},"aioseo_breadcrumb":"<div class=\"aioseo-breadcrumbs\"><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\" title=\"Home\">Home<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/\" title=\"Compliance\">Compliance<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tSEC\u2019s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019\n\t\t<\/span><\/div>","aioseo_breadcrumb_json":[{"label":"Home","link":"https:\/\/bdia.pli.edu"},{"label":"Compliance","link":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/"},{"label":"SEC\u2019s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/11\/04\/secs-relentless-pursuit-of-comp-related-conflict-disclosures-lessons-learned-from-sec-and-finra-cases-and-worth-reading-for-november-2019\/"}],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/991","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\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=991"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/991\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=991"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=991"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=991"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}