Skip to primary navigation
Skip to main content
About
Meet the Team
Why Choose Us
Services
Money Managers
Registered Funds
Private Equity
Broker-Dealers
Media
In The News
Podcasts
Outsourced CCO
Client Engagement
Resources
Cybersecurity
Helpful Information
Best Practices
Events
Blog
Contact Us
Search this website
Our Take Blog
Home
Our Take Blog
August 21, 2009
SEC Proposes Banning Solicitation Payments and Political Contributions for Public Plans
The SEC is proposing a new rule that would prohibit advisers seeking to manage public plans…
GET OUR TAKE
August 21, 2009
CCO Prosecuted for Aiding and Abetting Principals’ Fraud
The Chief Compliance Officer of a broker-dealer has pled guilty to conspiring to commit securities fraud…
GET OUR TAKE
August 20, 2009
Broker Barred for Facilitating Private Fund Fraud
A broker that paid a portion of his commissions back to clients that committed alleged wrongdoing…
GET OUR TAKE
August 19, 2009
SEC Releases Regulation FD Interps
The SEC’s Division of Corporation Finance has released a summary of Regulation FD interpretations, many of…
GET OUR TAKE
August 18, 2009
SEC Allows Advisors to Rely on Vendor to Retain Confirms
The SEC’s Division of Investment Management has issued a No-Action Letter to the vendor of an…
GET OUR TAKE
Pages:
First Page
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118
119
120
121
122
123
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158
159
160
161
162
163
164
165
166
167
168
169
170
171
172
173
174
175
176
177
178
179
180
181
182
183
184
185
186
187
188
189
190
191
192
193
194
195
196
197
198
199
200
201
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220
221
222
223
224
225
226
227
228
229
230
231
232
233
234
235
236
237
238
239
240
241
242
243
244
245
246
247
248
249
250
251
252
253
254
255
256
257
258
259
260
261
262
263
264
265
266
267
268
269
270
271
272
273
274
275
276
277
278
279
280
281
282
283
284
285
286
287
288
289
290
291
292
293
294
295
296
297
298
299
300
301
302
303
304
305
306
307
308
309
310
311
312
313
314
315
316
317
318
319
320
321
322
323
324
325
326
327
328
329
330
331
332
333
334
335
336
337
338
339
340
341
342
343
344
345
346
347
348
349
350
351
352
353
354
355
356
357
358
359
360
361
362
363
364
365
366
367
368
369
370
371
372
373
374
375
376
377
378
379
380
381
382
383
384
385
386
387
388
389
390
391
392
393
394
395
396
397
398
399
400
401
402
403
404
405
406
407
408
409
410
411
412
413
414
415
416
417
418
419
420
421
422
423
424
425
426
427
428
429
430
431
432
433
434
435
436
437
438
439
440
441
442
443
444
445
446
447
Last Page
Older Posts
No posts found.
Subscribe today for “Our Take” Alerts
Subscribe
Recent Posts
SEC Will Stick to June 30 Compliance Date for Regulation BI and Form CRS
VC Manager Misrepresented Promises from Prospective Investors
SEC Makes it Easier for Broker-Dealers to Offer Cash Sweep Programs
SEC Allows Fund Sponsors to Purchase Debt Securities from Funds for Liquidity
Fund Sponsor Failed to Create LP Committee to Approve Insider Transactions
Category
-- Select --
206(4)-7
206(4)-8
529 Plans
accredited investor
acquisitions
administrative law judge
affiliated transactions
affinity fraud
agency-cross transactions
agreements
aiding/abetting
allocations
AML
annual review
anti-fraud
Assets Under Management
Attorney-Client privilege
auditors
bad actors
bad brokers
BDC
Best execution
best interest conduct standard
Best of the Blog
best of the law firms
Best of the Web
best practices
blockchain
blue sky laws
board of directors
books and records
borrowing
branch offices
breakpoints
bribery
broker-dealer
brokerage and trading
Brokers
Business continuity planning
cash sweep
CCO liability
CFP
CFTC
cherry-picking
Chief Compliance Officers
church fund
closed-end funds
co-investments
Code of Ethics
commissions
commodities
Compliance
compliance staffing
conference summary
conflict of interest
credential inflation
criminal prosecution
cross transaction
crowdfunding
cryptocurrency
custody
cybersecurity
dark pool
data security
Department of Justice
Department of Labor
derivatives
Disaster recovery
disciplinary history
discipline
Disclosure
distributed ledger
distribution
Distribution and Broker-Dealers
distribution-in-guise
document retention and production
Dodd-Frank
DoJ
Dual Hatting
dual registrants
due diligence
electronic communications
electronic delivery
emails
employee screening
Enforcement
error correction
ETF
examinations
exams
Executive liability
exempt reporting adviser
exemption
exemptive relief
expense allocation
expert networks
Failure to supervise
family office
FAQs
fbi
FCPA
fees
fiduciary duty
fiduciary rule
filings
financial condition
financial statements
FINOP
FINRA
fintech
foreign bank
Form ADV
Form CRS
Form PF
Friday list
fund-of-funds
Funds
gatekeepers
General
hedge fund
hidden fees
high frequency trading
holiday greeting
hypothetical backtested performance
inadequate resources
inadvertent investment company
index
industry bar
industry trends
information security
informed consent
Initial Coin Offering
Inside information
insider trading
insurance products
inter-company payments
international
IPO
kickback
lawyer liability
lawyer-client privilege
licensing
limited partners
liquidity
LP committee
M&A
manager selection
Margin Lending
market access
marketing and advertising
marketplace lending
markups/markdowns
Martin Act
material nonpublic information
MiFID II
misrepresentations
monitoring
Most read
municipal advisers
mutual fund share classes
mutual funds
NAV error
nda
negligence
net capital
new issues
no-action letter
nondisclosure agreements
OCIE
order routing
outrsourcing
outside business activity
overbilling
pay-to-play
PCAOB
PERE
performance
performance fees
personal emails
personal liability
Podcasts
policies and procedures
Ponzi scheme
predictions
prepaid advisory fees
pricing
principal trading
private equity
private offering
proprietary product
proprietary trading
proxy voting
public plan
public plans
quantitative models
real estate fund
recidivist
recordkeeping
red flags
registration
Regulation Best Interest
Regulation FD
regulatory policy
regulatory trends
REIT
reliance on advice
reorgs
Repeat offender
research
revenue sharing
risk management
robo-advisers
rogue employees
rule summary
safeguarding assets
sales contest
sales loads
SEC
SEC administrative proceedings
SEC examinations
SEC investigations
SEC judges
securities pricing
selective disclosure
self-dealing
self-reporting
Senior investors
service providers
shareholder reports
short sales
social media
soft dollars
Solely Incidental
solicitation
state securities laws
statute of limitations
stock manipulation
suitability
supervision
Supreme Court
surprise exam
survey
suspicious activity reporting
swaps
technology
tender offer
test
testimonials
testing
The Friday List
Top 20 for year
Top 5
track record
trading
trading and settlement
trading away
training
transfer agents
transition management
Uncategorized
underwriters
undisclosed compensation
undue influence
Valuation
variable annuties
whistleblower
whistleblowers
wrap programs
Written Supervisory Procedures
Year
-- Filter by Year -
2020
2019
2018
2017
2016
2015
2014
2013
2012
2011
2010
2009
2008
Month
-- Filter by Month -
January
February
March
April
May
June
July
August
September
October
November
December
Search
Apply