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Meet “SALI” – The SEC’s Additional Investor Protection Search Tool - IA Compliance

Saturday, May 5 2018

Meet “SALI” – The SEC’s Additional Investor Protection Search Tool

On May 2, 2018 the Securities and Exchange Commission announced the launch of an additional online search feature that is designed to enable investors to research whether the person trying... [...]

Saturday, April 28 2018

BD Compliance IA Compliance News

Proposed Best Interest Regulation

In an April 18th Press Release from the Securities and Exchange Commission (SEC) they are seeking public comment (over the next 90 days following publication in the Federal Register) regarding... [...]

Saturday, April 21 2018

AdMaster IA Compliance News

SEC Fines Investment Adviser for False/Misleading Advertising

Pursuant to an order issued April 16, 2018, the SEC (“Commission”) has fined registered Investment Adviser Arlington Capital Management, Inc. (“Arlington”) $125,000 for making false and misleading advertisements in violation... [...]

BD Compliance IA Compliance News

Regulation Best Interest

This biggest issue with the financial services industry is the fact that investment advisers are required to operate at a disadvantage; advisers are defined as a fiduciary while broker dealers... [...]

Monday, April 16 2018

BD Compliance IA Compliance News

AML Officer and CEO Fined for AML Violations

Last month, the SEC instituted cease and desist proceedings against an AML Officer and CEO of a New York-based investment adviser and broker-dealer due to violations of the Securities Exchange... [...]

Saturday, April 7 2018

BD Compliance IA Compliance News

SEC Institutes a Public Administrative Proceeding for Failure to Supervise

An important part of the implementation of any compliance program is the supervision of the firm’s employees and associated persons. A firm’s compliance manual should address policies and procedures that... [...]

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Meet “SALI” – The SEC’s Additional Investor Protection Search Tool - IA Compliance

Meet “SALI” – The SEC’s Additional Investor Protection Search Tool

Proposed Best Interest Regulation

SEC Fines Investment Adviser for False/Misleading Advertising

Regulation Best Interest

AML Officer and CEO Fined for AML Violations

SEC Institutes a Public Administrative Proceeding for Failure to Supervise

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