Monitoring Employee Trades and Reporting

Rule 204A-1 requires each adviser’s code of ethics to set forth a standard of business conduct that the adviser requires of all its supervised persons. Each adviser’s code of ethics... [...]

Recently, there has been a focus on RIAs unintentionally obtaining custody of client assets. A few years ago, it became a popular practice of many RIAs to offer clients the... [...]

The SEC has imposed $160,000 in civil penalties against Aaron R. Parthemer, a former NFLPA Registered Financial Advisor who defrauded his athlete-clients, caused violations of the record keeping requirements of... [...]