The Securities and Exchange Commission (“SEC”) issued a cease-and-desist order on February 19, 2015 against SEC-registered Logical Wealth Management, Inc. and owner, Daniel J. Gopen, (together, “Respondents”). The list of violations the SEC found the Respondents committed is extensive and includes improper registration, compliance, and recordkeeping. The SEC found the…
On February 3, 2015, the Securities and Exchange Commission (“SEC”) released two publications addressing cybersecurity at advisory and brokerage firms. The first publication, a Risk Alert, relays the findings from the examinations of more than 100 investment advisers and broker-dealers and focuses on how they: (i) establish cybersecurity policies, procedures…
Contributed by: The Family Office Association The Family Office Association is pleased to contribute its latest Q&A “white paper” regarding family enterprise governance to the Investment Funds Law Blog. The Q&A has contributions from James Grubman, Ph.D. and Dennis Jaffe, Ph.D., two of the world’s leaders on the topic of…