NEWS & GUIDANCE
The client was sharp enough to warn his adviser that his e-mail had been hacked “and to be on the lookout” for a fraudulent request to move his funds. Two days later, that request came via e-mail. The FBI instructed the adviser “to just play along” in hopes of smoking out the suspect, recalled Ja...
Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watch, Aug. 11, 2014). Publicly stated exam priorities – through speeches, division guidance and risk alerts – are also mined to determine the hot topics...
After the SEC last year charged Timbervest ($1.1B in AUM) in Atlanta with improperly splitting undisclosed commissions (IA Watch, Sept. 30, 2013), the firm promised a vigorous defense. The legal fighting by the two sides led an SEC ALJ earlier this year to declare that things were “getting out of h...
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Speeches from key industry regulators
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