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SEC ACTIONS. Civil and Criminal enforcement Actions, Internal investigations and Related matters.

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The 5 Most Common SEC Compliance Violations
via napa-net

A “Risk Alert” from the Securities and Exchange Commission highlights the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers. The alert from the SEC’s Office of Compliance Inspections and...
SEC and CFTC Impose New Identify Theft Regulations Requiring Investment Advisory Firms to Consider Updates to Policies a...
via njlawblog

Joint Announcement On April 10, 2013, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission jointly adopted and announced new identity theft red flag regulations, which are being imposed pursuant to their respective...
(USA-NY-New York) Compliance Manager - Investment Management Regulatory Analysis & Reporting
via jpmchase

Compliance Manager - Investment Management Regulatory Analysis & Reporting-140065808 ## Job Description **Compliance Manager,**** Investment Management Regulatory Analysis & Reporting****** **JPMorgan Chase & Co.** (NYSE: JPM) is a leading...
Law Firm Memo Survey: Q3 2016
via westlawinsider

Our Law Firm Memo Survey examines law firm memoranda to identify trends in business law. To prepare the survey, our Experts On-Call reviewed 87 memos from 22 large law firms. Click here subscribe to the survey’s mailing list In the third quarter of...
How RIAs Can Take the Lead on Corporate Governance
via corpgov

Louis Brandeis In his 1914 collection of essays called Other People’s Money and How the Bankers Use It, Louis Brandeis argued that powerful men such as J.P. Morgan leveraged unbalanced control of the public’s assets to their own benefit. One hundred...

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SEC ACTIONS – A blog covering SEC investigations, Civil and Criminal enforcement Actions, Internal investigations and Related

A blog covering SEC investigations, Civil and Criminal enforcement Actions, Internal investigations and Related matters.

SEC Halts Scheme By IM Who Bilked Off-Shore Investment Manager

It can happen to anybody. The SEC has brought what seems like an almost endless string of investment fund and offering fraud actions. Typically small, unsophisticated investors, often known to the fra...