Advisory firms may want to more closely adhere to a culture of compliance because in doing so, they may be more likely to satisfy SEC requirements and head off potential enforcement actions. This is especially relevant in the wake of a January 3 settlement with an advisory firm, LKL Investment Counsel and Mark Love, its president and CCO.
ACA Insights, a weekly newsletter for investment management legal and compliance professions, ran a story on the potential ramifications of failing to satisfy SEC requirements citing the recent LKL settlement. Scarinci Hollenbeck partner Paul Lieberman was quoted in the article run for the January 2018 issue. An excerpt of Mr. Lieberman’s comments and a link to the entire newsletter are below.
Excerpt From the ACA Insights Article
“Every adviser must carefully understand the nature of its own business and its disclosure requirements or face the possibility of being sanctioned severely,”
Do you have any questions regarding the legal topic at the center of this article? If so, please feel free to contact Paul A. Lieberman or any one of the Scarinci Hollenbeck attorneys you believe can best answer your inquiry.
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