Regulatory Alerts2017-03-31
Added · Updated
Spring 2017 Securities Bulletin
Exempt Reporting Advisers must complete specific items in Part IA of Form ADV to remain compliant with the 2011 Order, with a deadline of June 30, 2017 for correcting deficiencies. The Connecticut Banking Commissioner may impose administrative fines under Section 36b-27 of the Connecticut Uniform Securities Act for non-compliance. Enforcement actions include amended cease and desist orders against Omniview Capital Advisors, LLC and its principal, and consent orders resulting in fines and bars for Peter David Hershman and John William Rafal. Cantor Fitzgerald & Co. agreed to pay $2,100 for employing unregistered agents.
Topics
Share