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The typical SEC examination will reveal some compliance deficiencies or internal control weaknesses at the firm. When the firm’s compliance or internal control failures are deemed serious, such as when investor funds or securities are believed to be at risk,...
Learn MoreSEC Action: In July 2018, the SEC instituted administrative cease and desist proceedings resulting in a censure and a fine of $75,000 against New Silk Route Advisors, L.P. (“NSR”) for failing to send annual audited financials to its private fund…
Read MoreCybersecurity SEC Enforcement Action On 9/26/2018 the Securities and Exchange Commission charged Voya Financial Advisors, Inc. (‘VFA”), with violating the Safeguards Rule and the Identity Theft Red Flags Rule, which are designed to protect confidential customer information and protect customers…
Read MoreWhy, who’s asking? Many cannabis-related businesses are in need of assistance with their fundraising efforts to expand their operations. Therefore, broker-dealers ask our Consultants more and more whether they can safely provide investment services to prospective customers in the cannabis…
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