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SEC Charges Options Trading Instructor with Defrauding Investors in Private Funds
9 Jun 2017, 6:30 am by Bryan Gort
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Wells Fargo Settles Charges with SEC For Misconduct in Sale of Market-Linked Investments
19 Jul 2018, 6:39 am by Elizabeth Dalziel
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Announces Enforcement Action for Compliance Policies and Procedures Failures
15 Dec 2022, 7:09 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
South Carolina Court of Appeals Vacates Securities Commission Sanction for Lack of Due Process
20 Dec 2018, 9:04 am by Elizabeth Dalziel
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Federal Court Denies Motion to Block DOL Fiduciary Rule
28 Nov 2016, 6:00 am by Patricia Klusmeyer
Parker MacIntyre provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Court Orders Hedge Fund Advisers to Pay $12.9 Million in SEC Fraud Case
22 Aug 2017, 6:46 am by Elizabeth Dalziel
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Announces Enforcement Actions Concerning Electronic Records
27 Oct 2022, 8:35 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
DOL Approves 18-Month Extension of Fiduciary Rule Transition Period
4 Dec 2017, 6:31 am by Patricia Klusmeyer
Parker MacIntyre provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Gladwell on Operation Mincemeat and the vagaries of espionage
3 May 2010, 11:01 pm
Don’t miss this clever Malcolm Gladwell/New Yorker review of “British journalist Ben Macintyre’s brilliant and almost absurdly entertaining Operation Mincemeat, the espionage caper that threw the Nazis off of the Allied invasion of Sicily: On April 30, 1943, a fisherman came across a badly decomposed corpse floating in the water off the coast of Huelva, in southwestern Spain. [read post]
Houston's Clear Thinkers - http://blog.kir.com/
FinCEN Publishes Frequently Asked Questions Relating to New Customer Due Diligence Rules
27 Apr 2018, 2:30 pm by Elizabeth Dalziel
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Proposes Rule on Third Party Service Providers
10 Nov 2022, 7:00 am by Katherine Oberlies
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Department of Labor Extends PTE 2020-02 Temporary Enforcement Policy
4 Nov 2021, 7:03 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Colorado Releases Guidance for Financial Planners
18 Aug 2022, 7:00 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Cybersecurity: OCIE Warns Against Credential Stuffing
7 Oct 2020, 7:09 am by Bryan Gort
If you require assistance with reviewing, updating, or drafting the policies and procedures required to have an effective cybersecurity compliance program, or are preparing to be examined by a regulator, please contact Parker MacIntyre or our affiliated compliance consulting firm, Century Compliance, LLC, at (678) 902-4060. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
The Invest Georgia Exemption and Intrastate Capital Formation (Part 1)
1 Dec 2022, 9:00 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC No-Action Letter Addresses Financial Exploitation of Clients
15 Jun 2018, 12:04 pm by Elizabeth Dalziel
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Courts Hear Second Constitutional Challenge to SEC Administrative Enforcement Proceedings
24 Feb 2020, 6:02 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Proposes Amendments to the “Internet Adviser” Basis for SEC Registration
3 Aug 2023, 7:00 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Proposes Amendments to Investment Advisers Act Regarding Small Business Investment Companies
29 Jun 2017, 7:06 am by Elizabeth Dalziel
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Enforcement Division Releases Annual Report and Stress Priorities
21 Dec 2017, 7:31 am by Elizabeth Dalziel
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/