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Searching Content indexed under Compliance by Stephen Mears ordered by Published Date Descending.
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OCIE Issues Risk Alert On Principal And Agency Cross Transactions
On September 4, 2019, the SEC's Office of Compliance Inspections and Examinations (OCIE) released a new risk alert on certain principal and agency cross trading
United States
27 Sep 2019
2
Proposed Senate Bill Would Significantly Impact Certain Private Funds And Their Affiliates
Recently, a group of Congress members introduced into Congress Senate Bill 2155 named the Stop Wall Street Looting Act of 2019. Although unlikely to be enacted into law as drafted
United States
6 Sep 2019
3
SEC Flags The Top Six Advertising Rule Deficiencies For Investment Advisers
The SEC staff recently published an alert highlighting the most common deficiencies seen in investment advisers' marketing materials.
United States
28 Sep 2017
4
SEC Issues Risk Alert On The Most Frequent Advertising Rule Compliance Issues And Use Of Accolades In Advertisements
On September 14, 2017, the staff of the SEC's OCIE issued a National Examination Program Risk Alert on the most frequent advertising rule compliance issues identified in OCIE examinations...
United States
27 Sep 2017
5
SEC Announces Settlement With Adviser Found To Have Acted As An Unregistered Broker And Engaged In Conflicted Transactions
On June 1, 2016, the SEC announced a settlement with Blackstreet Capital Management, LLC and Murry N. Gunty, Blackstreet's managing member and principal owner.
United States
8 Jun 2016
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