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SEC Disciplines RIA for Failure to File Form 13Fs

by | Sep 28, 2023 | 13F, Chief Compliance Officer, compliance deficiencies, Compliance Violations, Division of Enforcement, policies and procedures, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC NEWS, Securities Exchange Act, State Investment Adviser Compliance

On September 13, 2023, the SEC brought an enforcement action against a Registered Investment Adviser (RIA) with investment discretion over more than $100 million of reportable securities. The RIA, which has offices in New York, New York, and West Palm Beach, Florida,...

SEC Disciplines RIAs for Non-Compliant Hypothetical Performance Advertising

by | Sep 28, 2023 | Advertising, compliance deficiencies, Compliance Violations, Deficiencies, Division of Enforcement, Hypothetical Performance, Investment Adviser Representative, Marketing Rule, policies and procedures, Private Funds, Registered Investment Advisers (RIAs), Retail Investors, RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Investment Adviser Compliance, SEC NEWS, Supervision Initiative

On September 11, 2023, the SEC continued its crackdown on Registered Investment Advisers (RIAs) using hypothetical performance advertising by bringing cases against nine advisers. RIAs that advertise hypothetical performance, or plan to do so, should read these SEC...