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Soft Dollars (45)
Your search for Soft Dollars returned 45 results.
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5/16/2019 | Content area: Investment Adviser
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife...
3/19/2019 | Content area: Investment Adviser
A peer shares the advisory firm's soft dollars checklist.
8/09/2018 | Content area: Investment Adviser
While the Knowledge Leaders Management Committee approved the CIO’s company as a soft dollar recipient and approved the payments made to the CIO’s com...
10/26/2017 | Content area: Investment Adviser
SEC Chairman Jay Clayton has delivered as promised, giving the industry assurances that soft dollar research practices that conflict with the EU’s com...
10/26/2017 | Content area: Investment Adviser
    Investment Company Act of 1940 and Rule 17d-1 thereunder, and Section 206 of the Investment Advisers Act of 1940 Investment C...
10/26/2017 | Content area: Investment Adviser | Broker-Dealer
    Investment Advisers Act of 1940 - Section 202(a)(11) Securities Industry and Financial Markets Association October 26...
7/20/2017 | Content area: Investment Adviser
January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions long before then (IA Wat...
5/11/2017 | Content area: Investment Adviser
Soft dollars enforcement actions brought by the SEC occur a bit more frequently than a Big Foot sighting. But when they do, they can leave a big impri...
1/28/2017 | Content area: Investment Adviser
Click here to open a Word file of a sample soft dollars policy and procedures shared by a peer.
6/23/2016 | Content area: Investment Adviser
If you question how closely your clients read your Form ADV, imagine the reaction you might receive if it disclosed that $329,000 in soft dollars woul...
6/02/2016 | Content area: Investment Adviser
The wrinkles in the Department of Labor’s new fiduciary duty rule are starting to show (IA Watch, April 14, 2016). Take soft dollars.   Even though Ex...
3/19/2015 | Content area: Investment Adviser
There’s no debate. Firms can’t use their soft dollars to cover a trade error (IA Watch, Nov. 7, 2011). End all doubt by checking out this language fro...
9/15/2014 | Content area: Private Fund
Faking research expenses, portfolio pumping and marking the close are all featured in an SEC enforcement action announced this month against a Minneap...
9/09/2014 | Content area: Investment Adviser | Private Fund
SEC Charges Minneapolis-Based Hedge Fund Manager with Bilking Investors and Portfolio Pumping
8/11/2014 | Content area: Investment Adviser
An investment adviser and two principals paid dearly last week for misusing soft dollars, including using soft dollars for a $214,000 divorce payment....
5/19/2014 | Content area: Investment Adviser
Click here to open an Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file ...
4/21/2014 | Content area: Investment Adviser
Describing the concept of soft dollars can be a challenge. Poor disclosures about soft dollars usage can lead to an enforcement action (IA Watch, Oct....
4/21/2014 | Content area: Investment Adviser
There may be a slight trend of moving away from the use of soft dollars, but no one envisions the practice disappearing like the horse and buggy. An I...
9/09/2013 | Content area: Investment Adviser
The latest case of the SEC targeting an advisory firm CCO for malfeasance centers not on the firm's lack of fiduciary duty to all of its clients as mu...
8/30/2013 | Content area: Investment Adviser
This adviser and others were charged with engaging in two distinct schemes: fraudulent trade allocation by “cherry-picking” favorable trades and misus...


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