by Ara Jabrayan | Sep 27, 2020 | Code of Ethics, Investment Adviser Representative
On February 12, 2020, the SEC filed a civil enforcement action against a Registered Investment Adviser (RIA) in California, as well as the firm’s co-owners, for breaching their fiduciary duty and defrauding their advisory clients. The RIA and its co-owners allegedly...
by Ara Jabrayan | Sep 23, 2020 | Code of Ethics, Press Releases
Most investment advisers are aware of the obligations they owe to clients who are experiencing cognitive decline. Typically, Registered Investment Advisers (RIAs) implement policies and procedures that articulate how Investment Adviser Representatives should handle...
by Ara Jabrayan | Sep 20, 2020 | Code of Ethics, Uncategorized
On August 26, 2020, the SEC expanded the definition of “accredited investor,” which is one of the primary tests for determining who is eligible to participate in private capital markets. The SEC’s final rule can be found HERE...
by Ara Jabrayan | Sep 11, 2020 | Code of Ethics, Cyberattack, Cybersecurity
On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published observations from examiners pertaining to market participants’ cybersecurity and operational resiliency practices. Resiliency means more than just preventing or...
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