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Corporate & Securities Law
: FinancialCounselInvestment Advisers Put On Notice Of Current SEC Compliance Concerns
By James Eccleston
Recently, Lori Richards of the Securities Exchange Commission notified investment advisers of the SEC's current compliance concerns. In a speech entitled, "Compliance in Today's Environment: Step Up to the Challenge," the director of the SEC's Office of Compliance Inspections and Examinations urged investment advisers to "take a fresh look" at four compliance risks. Let's examine those four compliance risks.
Full post as published by FinancialCounsel on April 16, 2009 (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.
Maple Leaf
Pulls Weiners Due to Listeria Concerns
Stockbrokers and Financial Advisers
alleging careless mistakes or intentional fraud.
Freeport McMoRan Copper & Gold
Face Class Action Over Health and Environmental Concerns at Blackwell
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
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