Douglas Charton

Douglas Charton

K&L Gates LLP

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Notification Requirement for Firms Claiming Compliance with the Global Investment Performance Standards (GIPS)

The GIPS Executive Committee has approved a new requirement, effective January 1, 2015, that any firm claiming compliance with GIPS must annually notify the CFA Institute of such claim by June 30. Each GIPS-compliant firm...more

10/24/2014 - Compliance Investors JOBS Act Regulation D Regulation S Rule 506 Offerings Safe Harbors SEC Securities Act of 1933

SEC Administrative Law Judge Bars Investment Manager for Misrepresenting GIPS Compliance

On May 27, 2014, an administrative law judge (ALJ) found ZPR Investment Management, Inc. (ZPRIM) and its former owner, Max Zavanelli, to have violated the Investment Advisers Act of 1940 for publishing misleading...more

6/18/2014 - Advertising Compliance Enforcement Actions False Advertising Misleading Statements SEC

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