Compliance Solutions for Investment Advisers

Monthly Archives: January 2016

Personal Liability and SEC Enforcement

Lest you think the SEC is not serious about holding individuals personally liable, here is an excerpt from a recent speech by Chairperson White: Individual Liability:  Any discussion of strong enforcement tools must include a discussion of our priority of pursuing individuals.  Personal accountability, of course, is a basic tenet of law enforcement.  And individual

Cybersecurity and Regulatory Enforcement

No one wants to be a victim of a cybersecurity attack. But if you are an investment adviser and your clients’ personally identifiable information (PII) is hacked, you will be a victim and, in the view of the regulators, you might just be treated as a perpetrator as well. Just ask R.T. Jones Capital Equities Management, the firm that

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