Monthly Archives: December 2017

SEC Fines and Bars CCO for Ignoring Compliance Problems

Posted on December 29, 2017 by cindihill

from Cipperman Compliance Services The SEC fined and barred an adviser’s Chief Compliance Officer from acting in a compliance or supervisory capacity because of his failures to remedy compliance deficiencies. The adviser hired an outside compliance consultant which recommended 59 … Continue reading →

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Three Firms Fined for Marketing Hypothetical Third Party Performance

Posted on December 11, 2017 by cindihill

from Cipperman Compliance Services, LLC The SEC censured and fined three more investment advisers in connection with marketing F-Squared’s misleading hypothetical performance information. One of the firms agreed to pay $8.75 Million in disgorgement, fines, interest and another agreed to … Continue reading →

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Renewal Fees

Posted on December 6, 2017 by cindihill

Preliminary Renewal Statements are available on the IARD.  This statement includes the fees due to states for 2018.  These fees are due whether you are a state or an SEC advisor. Payment is due on or before December 18, 2017. … Continue reading →

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