Advertising and Marketing Regulation | Best Execution | Code of Ethics | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Custody | Disclosures | Examinations and Audits | Form ADV

SEC EXAMINATIONS: COMPARING EXAM PRIORITIES TO RESULTS

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is upfront about the areas it will be testing during its examinations of investment advisers.  In January, OCIE publishes its Examination…

Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Conflicts of Interest | Examinations and Audits | Investment Advisers Act

Just in time for Halloween: Compliance Rule Horror Stories (Part 3 of a 3-part series)

October 30, 2014 Jaqueline M. Hummel Managing Director, Hardin Compliance Consulting, LLC In this final installment of a three-part series, the most recent cases involving violations of the Compliance Program…