The words of Ray Lucia once could be heard from coast to coast. He touted the benefits of his Buckets of Money® presentation on a national radio show and at seminars and webinars across the country, an act that attracted investors and earned him millions. Now, his investment advisory firm has been d...
NEWS & GUIDANCE
You often hear comparisons between exams conducted by OCIE and the National Futures Association and the same description keeps coming up: The NFA is much less adversarial. But don’t read this to mean they’re pushovers. “It’s night and day” between an SEC and NFA exam, says a compliance officer at ...
FinCEN’s proposed AML rule for advisers appears in the Sept. 1 Federal Register, running 22 pages (IA Watch, Aug. 27, 2015). You now have until Nov. 2 to share your comments on the proposal. The proposal would oblige SEC-registered IAs to have an AML program, and one that would react to potential r...
That letter to SEC Enforcement chief Andrew Ceresney from the NSCP last month raising questions about cases targeting compliance officers will result in a D.C. confab (IA Watch, Aug. 27, 2015). “The response was positive,” NSCP Executive Director Lisa Crossley tells IA Watch. “They are willing to...
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