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compliance focus - outsourced compliance & securities regulations experts compliance focus outsourced compliance & securities regulations experts menu skip to content contact adv annual updating amendments adv annual updating amendments are due for most registered investment advisers and exempt reporting advisers within 90 days of the fiscal year end. that sets the filing date for 2016 firmly on march 30th. in updating the form adv, firms should be particularly mindful of changes in these key areas: identifying information, including contact persons; information about the advisory business, including: employee counts; client counts; and regulatory assets under management. private fund reporting; offering memoranda and subscription documents; firm strategies, policies and procedures; conflicts of interest; custody changes; and use of consultants for compliance and cybersecurity. firms should especially lean on their brokers, custodians, administrators, legal counsel and compliance consulting firm to accurately and correctly complete the form adv annual updating amendment process. 7 comments 2015 sec enforcement round up fees and expenses sec charges santa barbara-based hedge fund firm, executives and auditor for improper expense allocations alpha titans llc, a santa barbara, ca based hedge fund misallocated assets from two affiliated private funds to pay for firm expenses. the sec investigation found that the firm’s principal, timothy mccormack, and general counsel, kelly kaeser, used private fund assets to pay more than $450,000 in office rent, salaries and benefits, and other expenses without authorization or appropriate disclosure to investors. the firm’s auditor, simon lesser, falsely approved of audit reports that the funds’ financial statements were accurately presented. these statements failed to include almost $3 million in expenses to outside entities controlled by mccormack. mccormack and kaeser are banned from the securities industry for a year; kaeser also received a one-year suspension from practicing as an attorney on behalf of any sec entity. lesser is barred from practicing as an accountant on behalf of any sec entity for three years. sec charges kkr with misallocating broken deal expenses private equity firm kohlberg kravis roberts & co. misallocated over $17 million in “broken deal” expenses to its funds. these expenses, often associated with broken deals, diligence or unsuccessful buyouts, must be allocated equally among all participating funds and co-investors. the sec marked this lack of disclosure and misallocation as a failure to adopt appropriate policies and procedures for broken deal expense allocation and a breach of fiduciary duty. kkr is ordered to pay approximately $30 million to settle the charges, including a $10 million penalty. sec charges seattle-area hedge fund adviser with taking unearned management fees washington based summit asset strategies investment management and its ceo, chris yoo, falsely inflated fund asset values in order to generate fees. yoo incorrectly valued bank assets at approximately $2 million when the actual value was less than $200,000. additionally, he failed to disclose a conflict of interest with his other firm, summit asset strategies wealth management, where he received fees when referring clients to invest in the fund. yoo and his firms have been ordered to pay combined disgorgement and fines in excess of $1.3 million. individually, yoo is banned from the securities industry. conflict of interest sec charges blackrock advisors with failing to disclose conflict of interest to clients and fund boards the sec charged blackrock advisors llc with breaching its fiduciary duty by not disclosing a conflict of interest between daniel rice iii, a portfolio manager, and his outside business, rice energy. rice was the general partner of rice energy, having invested nearly $50 million in the company. rice energy, following a joint venture with a publicly-traded coal company, eventually became the biggest holding in blackrock’s $1.7 billion energy & resources portfolio, managed by rice. rice energy accounted for almost 10% of the fund’s holdings. blackrock has paid a $12 million penalty to settle the charges and must engage an independent compliance consultant to conduct an internal review. sec charges private equity firm and four executives with failing to disclose conflicts of interest new york private equity firm fenway partners llc and its principals peter lamm, william smart, timothy mayhew jr., and cfo walter wiacek are charged with failing to disclose conflicts of interest to investors. through the fund or portfolio companies the individuals caused over $20 million in consulting fees to be paid to an affiliated entity, fenway consulting partners llc, and other firm employees all while working primarily at fenway partners. these fees were never offset against management fees regularly charged to the fund by fenway partners, effectively double billing the fund. together the parties have agreed to pay over $10 million into a fund for harmed investors. compliance violations sec charges issuer for failing to make public filings the sec charged w2007 grace acquisition i inc. with failing to make required public filings. in 2007, the firm suspended reporting obligations for its class b and class c preferred shares as the shares had less than 300 holders of record. in 2014, the firm incorrectly counted its holders of record and therefore neglected to report, missing 8 required public filings. w2007 grace acquisition i inc. agreed to pay $640,000 to settle all charges. sec charges citigroup global markets for compliance and surveillance failures citigroup global markets was charged with failing to enforce policies and procedures to prevent and detect the misuse of material nonpublic information. it was also charged with failing to prevent and detect principal transactions by an affiliate. the sec found that citigroup failed to review thousands of trades by several trading desks over a 10-year period. the firm also routed nearly 500,000 trades to an affiliated market maker who then executed the purchases from its own account. citigroup was fined $15 million and ordered to retain a consultant to improve its surveillance and trade order process. wolverine affiliates charged with failing to maintain policies to prevent misuse of material nonpublic information wolverine trading llc and wolverine asset management llc were charged by the sec with failing to maintain and enforce policies and procedures to prevent the misuse of material nonpublic information. employees at wolverine trading repeatedly shared information regarding trading positions, specifically tvix, an exchange-traded note, with others at wolverine asset management. wolverine asset management unfairly profited from market opportunities it should not have had to the tune of over $350,000. the firms together have been fined approximately $1.15 million to settle the charges. sec charges investment adviser with failing to adopt proper cybersecurity policies and procedures prior to breach r.t. jones capital equities management, a st. louis-based investment adviser, was charged with failing to adopt written cybersecurity policies and procedures. for nearly 4 years, the firm stored all sensitive personally identifiable information of its clients on a third-party web server. the firm neglected to take steps to protect client information and was hacked in 2013, giving the intruder access to all data stored on the server. the firm has been charged with violating rule 30(a) of regulation s-p, the “safeguards rule”, and fined $75,000. insider trading sec charges four in california insider trading ring john gray, an analyst at barclays capital, along with his friends christian keller and kyle martin, traded on insider information in advance of several corporate news announcements. they attempted to conceal their actions by trading in another

URL analysis for compliancefocus.com

http://compliancefocus.com/2015-sec-enforcement-round-up/
http://compliancefocus.com/policy-and-disclosure-considerations-for-private-equity-co-investment/
http://compliancefocus.com/employee-compliance-training-basics-and-beyond/
http://compliancefocus.com/sec-provides-clarity-on-venture-capital-exemption/
http://compliancefocus.com/wp-content/uploads/2015/10/ex2.jpg
http://compliancefocus.com/standards-for-insider-trading-liability-remain-unclear/
http://compliancefocus.com/page/2/
http://compliancefocus.com/2015-sec-enforcement-round-up/#comments
http://compliancefocus.com/cybersecurity-policies-what-are-regulators-looking-for-from-your-firm/
http://compliancefocus.com/primer-regulation-m-rule-105/
http://compliancefocus.com/adv-annual-updating-amendments-2/
http://compliancefocus.com/contact/
http://compliancefocus.com/sec-investigations-target-private-equity-fees-and-disclosures/
http://compliancefocus.com/adv-annual-updating-amendments/
http://compliancefocus.com/is-the-secs-180-day-examination-and-enforcement-limit-more-guideline-than-rule/

Whois Information

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Domain Name: COMPLIANCEFOCUS.COM
Registry Domain ID: 1780953629_DOMAIN_COM-VRSN
Registrar WHOIS Server: whois.godaddy.com
Registrar URL: http://www.godaddy.com
Updated Date: 2018-02-18T13:29:23Z
Creation Date: 2013-02-17T19:23:00Z
Registry Expiry Date: 2019-02-17T19:23:00Z
Registrar: GoDaddy.com, LLC
Registrar IANA ID: 146
Registrar Abuse Contact Email: [email protected]
Registrar Abuse Contact Phone: 480-624-2505
Domain Status: clientDeleteProhibited https://icann.org/epp#clientDeleteProhibited
Domain Status: clientRenewProhibited https://icann.org/epp#clientRenewProhibited
Domain Status: clientTransferProhibited https://icann.org/epp#clientTransferProhibited
Domain Status: clientUpdateProhibited https://icann.org/epp#clientUpdateProhibited
Name Server: NS43.DOMAINCONTROL.COM
Name Server: NS44.DOMAINCONTROL.COM
DNSSEC: unsigned
URL of the ICANN Whois Inaccuracy Complaint Form: https://www.icann.org/wicf/
>>> Last update of whois database: 2018-08-04T09:58:47Z <<<

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The Registry database contains ONLY .COM, .NET, .EDU domains and
Registrars.

  REGISTRAR GoDaddy.com, LLC

SERVERS

  SERVER com.whois-servers.net

  ARGS domain =compliancefocus.com

  PORT 43

  TYPE domain

DOMAIN

  NAME compliancefocus.com

  CHANGED 2018-02-18

  CREATED 2013-02-17

STATUS
clientDeleteProhibited https://icann.org/epp#clientDeleteProhibited
clientRenewProhibited https://icann.org/epp#clientRenewProhibited
clientTransferProhibited https://icann.org/epp#clientTransferProhibited
clientUpdateProhibited https://icann.org/epp#clientUpdateProhibited

NSERVER

  NS43.DOMAINCONTROL.COM 216.69.185.22

  NS44.DOMAINCONTROL.COM 173.201.69.22

  REGISTERED yes

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