1/24/2019 | Content area:
Investment Adviser
To reconcile means “to check against another for accuracy.”
Reconciliation is “a very important function” for the CCO, says Kurt Nuñez, a consultant...
1/24/2019 | Content area:
Investment Adviser
First, thanks to those of you who recently took our online subscriber survey. Here are some of the results.
Fully half of respondents stated their c...
1/24/2019 | Content area:
Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...
1/24/2019 | Content area:
Private Fund
Look at it as a friendly divorce that welcomes into the marriage a new spouse.
Most limited partnership agreements offered by private equity fund ad...
1/24/2019 | Content area:
Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/24/2019 | Content area:
Investment Adviser
After two years, The Robare Group ($177M in AUM) finally argued its Form ADV disclosure enforcement case before appellate judges Jan. 23 (IA Watch, No...