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23 Nov 2020, 2:33 pm by Astarita
Advisers that failed to review significant areas of their business, such as policies and procedures surrounding the oversight and review of recommended third-party managers, cybersecurity, and the calculation of fees and allocation of expenses.The full list of examples of deficiencies that OCIE will be looking for in their examinations are contained in the Risk Alert - OCIE Observations: Investment Adviser Compliance ProgramsMark Astarita represents financial advisers across the country. [read post]
5 Nov 2020, 4:19 am by Astarita
---https://www.napa-net.org/news-info/daily-news/sec-targets-broker-dealer-text-messaging-mix ---Mark Astarita has 30 years of experience representing investors, brokers and issuers in their securities regulatory and litigation matters, including SEC and FINRA proceedings, arbitrations, and due diligence in connection with public and private offerings and investments. [read post]
5 Nov 2020, 4:08 am by Astarita
-------------https://advisorhub.com/wells-brokers-with-405-million-leave-for-stifel-cite-small-account-policies/ -----------The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
3 Nov 2020, 10:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
29 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]