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SEC Sanctions an Investment Adviser for Several Compliance Deficiencies

by Ara Jabrayan | Jan 24, 2022 | ADV Part 2A, compliance deficiencies, Fiduciary Duty, Registered Investment Advisers (RIAs), Uncategorized

On January 11, 2022, a Registered Investment Adviser (RIA) in Rockaway, New Jersey, consented to the entry of an SEC order that sanctioned the firm for several compliance deficiencies. The RIA also agreed to be censured and to cease-and-desist from engaging in the...

The SEC Fines J.P. Morgan for Failure to Maintain Required Books and Records

by Ara Jabrayan | Jan 18, 2022 | SEC NEWS, SEC Rules, Securities Exchange Act, Supervision Initiative, Uncategorized

On December 17, 2021, the SEC announced charges against J.P. Morgan Securities LLC (JP Morgan), a broker-dealer subsidiary of JPMorgan Chase & Co. The SEC alleged that the broker-dealer failed to maintain and preserve certain written communications. JP Morgan...

NASAA’s 2021 RIA Examinations Sweeps Results

by Ara Jabrayan | Jan 7, 2022 | Division of Examinations, Uncategorized

On September 20, 2021, the North American Securities Administrators Association (NASAA) announced its findings from a series of 1,206 coordinated examinations of state-registered investment advisers. NASAA found that nearly 59 percent of the investment advisers did...

NASAA Enforcement Report Reinforces the Importance of Compliance

by Ara Jabrayan | Jan 7, 2022 | Uncategorized

On September 29, 2021, the North American Securities Administrators Association (NASAA) published its annual enforcement report. According to the report, state securities regulators conducted an increasing number of investigations and enforcement actions related to...

RIAs Get Bad Report Card from the SEC on their Fee Calculations

by Ara Jabrayan | Jan 7, 2022 | Division of Examinations, Fee Calculations, policies and procedures

On November 10, 2021, the SEC’s Division of Examinations (Division) published a Risk Alert containing examiners’ observations regarding investment advisers’ fee calculations. To arrive at these observations, examiners conducted approximately 130 examinations of...
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