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14 Sep 2023, 12:21 pm
SEC Order – Elm Partners Management LLC SEC Order – Hansen and Associates Financial Group Inc SEC Order – Linden Thomas Advisory Services LLC SEC Order – Macroclimate LLC SEC Order – McElhenny Sheffield Capital Management LLC SEC Order – MRA Advisory Group SEC Order – Trowbridge Capital Partners LLC [read post]
14 Sep 2023, 6:33 am
The firms sanctioned in the sweep are as follows: Banorte Asset Management Inc.BTS Asset Management Inc.Elm Partners ManagementHansen and Associates Financial Group Inc.Linden Thomas Advisory ServicesMacroclimateMcElhenny Sheffield Capital ManagementMRA Advisory GroupTrowbridge Capital Partners National Securities Attorneys If you are concerned about investment losses with your… [read post]
13 Sep 2023, 8:22 am
Not all examinations are the same, but most examinations will cover certain foundational aspects of the investment adviser’s business, including advisory operations, disclosures, compliance program, conflicts of interests, custody and safekeeping of assets, portfolio management, advisory fees, brokerage practices, and best execution. [read post]
11 Sep 2023, 9:01 pm
RIA affiliates of offshore advisers who act as sub-advisors to those non-U.S. funds, teeing up difficult interpretive questions regarding whether such U.S. advisers will either need to produce quarterly reports and audited financial statements for these previously exempt non-U.S. funds or otherwise significantly modify their sub-advisory roles. [read post]
10 Sep 2023, 11:08 am
The Group Advisory Layer Method (G-A-L Method™) revolutionizes decision-making by merging traditional principles of mastermind groups and advisory boards with the cutting-edge capabilities of generative AI. [read post]
5 Sep 2023, 1:17 pm
The advisory firms are: Lloyd George Management (HK) Limited; Bluestone Capital Management LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; and Apex Financial Advisors Inc. [read post]
4 Sep 2023, 5:44 am
Every year after Labor Day, I take a step back to survey the most important current trends and developments in the world of Directors’ and Officers’ liability and insurance. [read post]
31 Aug 2023, 4:51 am
The transaction was financed by Woodforest National Bank and NorthCoast Mezzanine, with advisory roles played by Kenyon Group, BakerHostetler, and Moss Adams. [read post]
30 Aug 2023, 9:05 pm
Leveraging proxy advisory firms and their recommendations to amplify the activist’s influence. [read post]
29 Aug 2023, 7:37 am
“The CFTC is a market regulator like the SEC,” she told the group. [read post]
27 Aug 2023, 7:49 pm
Liddle also allegedly made material misrepresentations about the use of client funds and the risk of client investments to at least 13 advisory clients, many of whom are senior citizens. [read post]
25 Aug 2023, 5:58 pm
McCormick, Chancellor, Delaware Court of ChanceryRick Alexander, Founder and Chief Executive Officer, The Shareholder CommonsJames Cole, Jr., Chairman & Chief Executive of The Jasco Group, LLC; Director and Chair of the Nominating and Governance Committee, AIGMichelle Edkins, Managing Director, Blackrock Investment StewardshipPeggy Foran, Chief Governance Officer, Senior Vice President and Corporate Secretary, Prudential Financial, Inc.Lawrence A. [read post]
22 Aug 2023, 5:01 am
HBR Consulting, LAC Group, and Wilson Allen Relaunch as Harbor HBR Consulting, LAC Group, and Wilson Allen today announced the launch of Harbor, an expert services provider across strategy, legal technology, operations, and intelligence. [read post]
20 Aug 2023, 3:43 pm
The Managing Attorney will directly supervise and collaborate with a group of senior staff who have responsibilities related to management, supervision and/or program leadership, and will work across the whole program to support team members and advance our program goals. [read post]
16 Aug 2023, 9:04 am
Hector May, of New York, NY, reportedly pleaded guilty in December 2018, to participating in a conspiracy to defraud investment advisory clients out of more than $11 million. [read post]
10 Aug 2023, 9:31 am
Between November 2015 and August 2017, HSBC allegedly misled its current and prospective advisory clients and didn’t disclose conflicts of interest related to how it compensated its dually registered investment advisor representatives in the firm’s retail banking and wealth management unit, according to the SEC.According to the SEC, HSBC also allegedly failed to implement written policies and procedures designed to prevent violations of the Investment… [read post]
8 Aug 2023, 11:25 am
According to The Financial Advisor IQ, “The trades were executed in a non discretionary advisory account Nia managed for a community bank, FINRA asserted in letters of acceptance, waiver and consent published this week. [read post]
8 Aug 2023, 10:09 am
Its core offerings now include Global Advisory, Discovery Intelligence, HaystackID Core, and artificial intelligence-enhanced Global Managed Review services powered by ReviewRight®. [read post]
8 Aug 2023, 7:44 am
COBA, of course, can recover its losses only once, even though two groups—those involved in the bribery scheme and those involved in the fraud—arguably caused them. [read post]
3 Aug 2023, 7:00 am
Please visit our Investment Adviser Practice Group page for more information. [read post]
