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Category Archives: Conflict of Interest

RIAs Required to Disclose Conflicts of Interest & Outside Business Activities

A registered investment advisor has a fiduciary duty to disclose all real and potential conflicts of interests to clients as well as all material arrangements. Often times this broad requirement encompasses outside business activities the registered investment advisor considers non-advisory and would otherwise not disclose to clients. For example, a registered investment advisor that spends [...]

 
Posted by Bryan Hill
Monday, September 7, 2009
Labels: Conflict of Interest, Outside Business Activities, Webinar

 

SEC Takes Disciplinary Action Against Chief Compliance Officer

The U.S. Securities and Exchange Commission (“SEC”) recently issued an order bringing sanctions against an individual who had served as an investment adviser’s president and chief compliance officer regarding investment pools operated by an associated person of the investment adviser. According to the SEC, beginning in 2002, the investment adviser, Battery Wealth Management, Inc. (“Battery”), [...]

 
Posted by Bryan Hill
Friday, November 7, 2008
Labels: Compliance Violations, Conflict of Interest

 

Identifying and Handling Conflicts of Interest

Recently, FINRA published a webcast on identifying and handling conflicts of interest. Conflicts of interest may arise any time that the interests of a registered representative or investment advisory representative compete with the interests of their customers. This post will summarize the FINRA webcast, as conflicts of interest is an important issue that affects both [...]

 
Posted by Bryan Hill
Monday, October 6, 2008
Labels: Conflict of Interest

 

SEC Issues Cease-and-Desist Order for Failure to Disclose Conflicts of Interest and Misrepresentation of Its Research Process

Recently, the U.S. Securities and Exchange Commission (“SEC”) issued a cease-and-desist order, disgorgement to clients, prejudgment interest and penalties, among other sanctions against a registered investment adviser for its failure to disclose conflicts of interest in its selection of funds for discretionary clients and for providing misrepresentations to clients by stating that funds selected for [...]

 
Posted by Bryan Hill
Wednesday, July 16, 2008
Labels: Conflict of Interest, Enforcement

 

SEC Issues Cease-and-Desist Order for Incomplete Disclosure of a Conflict of Interest

Once again the U.S. Securities and Exchange Commission (“SEC”) issued a cease-and-desist order against a registered investment adviser for incomplete disclosure of a conflict of interest in violation of Section 207 of the Investment Advisers Act of 1940. In the Matter of Callen Associates (Rel. IA-2650/Sept. 19, 2007; File No. 3-12808), the SEC alleges that [...]

 
Posted by Bryan Hill
Saturday, September 22, 2007
Labels: Conflict of Interest, Enforcement, Form ADV

 
  

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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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