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Corporate & Securities Law
: FinancialCounselThe Top 10 Current Compliance Issues For Investment Advisers
By James Eccleston
This 30-minute recorded presentation from a recent webinar by SNSFE securities associate attorney Christopher J. Moyen covers the basics of what we identify to be the top 10 current compliance issues facing investment advisers today. Play the webinar or listen to the podcast to learn about these common deficiencies and their remedies.
Full post as published by FinancialCounsel on November 13, 2007 (boomark / email).
Foreign Investment and National Security Act of 2007
Strengthens examination requirements of the Committee on Foreign Investment in the United States
Inmate Possessions
Washington Department of Corrections agrees to pay current and former inmates $75 each for donating or destroying personal property.
Stockbrokers and Financial Advisers
alleging careless mistakes or intentional fraud.
John Vermillion and Associates LLC et al.
allegedly misrepresented themselves as qualified financial advisers to sell living trusts and exploit senior citizens.
American Equity Investment Life
Settles Class Action
Developer Investment
Raffaello Follieri agrees to $12 million joint venture settlement.
Rothschild Investment
$28,000 settlement reached in securities lawsuit.
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