You can’t make others ethical, but you can give them the tools to do right when no one is looking.
- Detect Ethical Issues Presented in Case Studies
- Understanding Behavioral Ethics
- Case Studies Based on Real-Life Cases / Enforcement Actions
- Establish an Ethical Work Environment
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OCIE Examined 15% of RIAs in 2017
In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed in its Fiscal Year 2019 Congressional Budget Justification Annual Performance Plan. In the same report, the SEC said the staff will continue to improve its efforts of RIAs, noting that nearly 35 percent of all … Continued
Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls
A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge fund managers when using hypothetical performance or model data in marketing efforts, and how managers relying on such data can avoid enforcement actions. Adam DiPaolo, Senior Consultant in Ascendant’s Private Funds group, is quoted in the … Continued
SEC’s Exam Priorities Offer Insight Into National Exam Program
On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s summary here). In addition to defining their examination priorities for the year, the OCIE staff offered some insight into the National Exam Program. Specifically, they defined the following five principles in executing their exam priorities: … Continued
SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules
SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and hold themselves to high standards. Speaking via videoconference during Securities Regulation Institute’s recent annual conference, he said, “To be blunt, from what I have seen recently, particularly in the initial coin offering (“ICO”) space, they … Continued
2018 SEC Exam Priorities: What You Need to Know
The key portion of the SEC's 2018 priorities for advisers was devoted to the protection of retail investors, including seniors and those saving for retirement.
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