Importance of a Robust Compliance Program in a Post-Dodd-Frank World

The SEC Associate Director of Enforcement gave a speech on October 7, 2013 concerning the importance of a robust compliance and ethics program, and the SEC’s role in supporting compliance... [...]

On October 23rd, as part of the SEC’s Compliance Program Initiative, the SEC has announced the sanctioning of three advisory firms and their officers. All three firms have agreed to... [...]

We have seen this happen too many times in the last 5 years and hate to see good intensions hurt the firm and the client. This is a valuable lesson... [...]

John Walsh is urging the new SEC Chairman Mary Jo White to refrain from prosecuting chief compliance officers, utilize alternative enforcement tools, and avoid efforts to set new enforcement records.... [...]

The Securities and Exchange Commission is worried that life insurance companies are taking advantage of vague language in VA contracts to make substantial changes that could hurt investors. It appears... [...]

The SEC filed suit against an Adviser and its five principals which included the Adviser’s General Counsel and Chief Compliance Officer, for stealing money from a public pension plan. According... [...]