Aggregated News From Investment Management Regulators

Jonathan Blattmachr, Jonathan Forman Article Discusses SEC Report on Common Compliance Deficiencies for Investment Companies

Report/Flag

Please complete the required fields.



Counsels Jonathan Blattmachr and Jonathan Forman authored an article published in the December 2019 issue of Wells Fargo Prime Services Business Consulting “Industry and Regulatory Updates.” The article, “SEC Warns Investment Companies and Their Service Providers of Common Deficiencies and Weaknesses,” discusses a Risk Alert issued by the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) that identifies the most common weaknesses and deficiencies found in its examination of nearly 300 registered investment companies over the past two years. The report notes these areas of concern: Fund Compliance Rule, Disclosures to Investors, Section 15(c) Process, and Fund Code of Ethics.

Read the full article from BakerHostetler here: https://www.bakerlaw.com/articles/jonathan-blattmachr-jonathan-forman-article-discusses-sec-report-on-common-compliance-deficiencies-for-investment-companies

Recent Articles

Directive for the beneficial ownership register of express trusts and similar legal arrangements

See the Press Release published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

RichmondSuper

Attention! The FMA warns investors against concluding transactions with: RichmondSuper https://www.richmondsuper.com (Link to external page. Opens in new window.) [email protected] [email protected] [email protected] [email protected] [email protected] (Link to external page. Opens in new window.) This provider...

Hardson Becker Global

Attention! The FMA warns investors against concluding transactions with: Hardson Becker Global with its registered address apparently in Hangzhou, China www.hardson.com This provider is not authorised to carry...

“Let’s talk about money” – money laundering: how illegal assets are given a legal appearance

In the latest edition of its consumer information series, “Let’s talk about money” the Austrian Financial Market Authority (FMA) explains about the term money...

Chair Powell will host town hall with educators August 2, 2021 at 4 p.m. EDT

Please enable JavaScript if it is disabled in your browser or access the information through the links provided below.

Get the latest from Regulatory.News in your inbox!

×