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The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) previously announced that its 2014 Examination Priorities included a focus on technology, including cybersecurity preparedness.  In…

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to sharpen their skills through general and breakout sessions.  Satisfy CLE/CPE requirements. Click HERE to view the complete program. The brochure is also available on FMA’s website, www.fmaweb.org.  Print…

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affected. What is “having custody?” Holding or having authority to obtain possession of client funds or securities, for example: Possession of client funds or securities unless received inadvertently and…

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allowance for additional travel or expense reimbursement in excess to what is typical for similarly situated representatives, or a commission schedule for a representative who is paid on a commission…

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Written by:  Jay B. Gould and Jessica M. Brown The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations released a “Risk Alert” on January 28, 2014, which…

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If your management company or fund was formed as a California limited liability company, you need to review your Operating Agreement to determine whether amendments need to be made….

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exemption or exclusion during the affirmation period of December 3, 2013 to March 3, 2014 will not need to affirm until the 2014 calendar year end. To obtain information about…

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false statements in order to solicit more business. Grimaldi will pay a $100,000 penalty and, along with NMM, agree to be censured, obtain an independent compliance consultant and cease and…

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Written by:  Jessica M. Brown The Securities and Exchange Commission (“SEC”) and the United States Department of Labor (“DOL”) announced sanctions today against Western Asset Management Company (“Western Asset”),…