by Ara Jabrayan | Apr 29, 2024 | Code of Ethics, Communication, Compliance Violations, Deceit, Division of Enforcement, Fines, Fraud, Investment Adviser Code of Ethics, Investment Adviser Representative, Investment Advisers Act - Section 206(2), Marketing Rule, RIA Compliance
On April 22, 2024, the SEC resolved an enforcement action against an investment adviser and the firm’s owner based in Fort Lauderdale. The enforcement action demonstrates how important it is for investment advisers and Investment Adviser Representatives to be accurate...
by Ara Jabrayan | Apr 17, 2024 | Advertising, Chief Compliance Officer, Compliance Violations, Fines, Hypothetical Performance, Marketing Rule, policies and procedures, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC NEWS, Website
The SEC sent another shot across the bow to warn Registered Investment Advisers (RIAs) that the Commission is deadly serious about enforcing the Marketing Rule. On April 12, 2024, the SEC charged five RIAs with violating the Marketing Rule. All of those firms agreed...
by Ara Jabrayan | Apr 8, 2024 | Uncategorized
Although the case involved broker-dealers and not a Registered Investment Adviser (RIA), a recent FINRA enforcement action underscores the importance of implementing and enforcing supervisory systems, including written supervisory procedures (WSPs), to ensure...
by Ara Jabrayan | Apr 3, 2024 | ADV Part 2A, Books and Records, Cherry-Picking, Chief Compliance Officer, compliance deficiencies, Compliance Violations, Deficiencies, Division of Enforcement, Division of Examinations, Fiduciary Duty, Form ADV, Investment Adviser Representative, policies and procedures, Recordkeeping, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, Standards of Conduct
SEC Renders Judgment on RIA with Compliance Problems On February 16, 2024, the SEC obtained a final judgment against a Registered Investment Adviser (RIA) based in Dallas, Texas. The RIA was previously charged with making false and misleading statements in its Form...
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