Investment Advisers Act 1940
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How RIAs can build a sturdy compliance program
An at-a-glance guide to building a robust compliance program, and the role of the CCO.
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Think before you “fix” it: CCO missteps lead to personal fines and bar
A stark reminder that Chief Compliance Officers are on the hook for misleading regulators during an examination.
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SEC charges American Portfolios Advisors for misleading disclosures and falsified records
A routine SEC exam exposed backdated documents, hidden fee markups, and executive complicity.