Carl Ayers
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...
"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...
Gain ideas from this adviser's code of ethics
Here's an example of a personal trading policy and procedure
SEC's Gensler grilled over new rules, tips to ease your Form ADV update, risks and resources of AI and much more
A common deficiency seen in SEC exams stems from a private fund adviser not updating its Form ADV, Part 1 answer after the distribution of ...
The SEC’s new annual report to Congress about Form PF provides some insights into how the Commission uses private fund data, and how it attempts ...
In the last five years, 'the population of advisers has grown by over 2,300 and the assets managed by these entities has increased by approximately ...