Carl Ayers
This is an example of how one RIA advertises its performance. It includes a benchmark by which to compare the firm's results, along with necessary ...
How are investors protected in light of the potential conflicts of interest that may exist when DEPs optimize for platform revenues, data collection, or investor ...
As you discuss digital platforms and other topics in the future, help us to remember that a regulator who always says no or takes too ...
The Compliance Officer recommended to Horter that the rep be fired for effectively failing Horter Investment’s due diligence process. Horter rejected the Compliance Officer’s advice
Paradigm routinely selected higher cost Class A shares instead of lower cost mutual fund share classes for which clients were eligible, and thereby avoided incurring ...
Exchange-traded funds definitely seem to be an industry darling these days, and some advisers to private, mutual funds and even separately managed accounts are courting ...
Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...
A peer shares a template for auditing a branch office
The heavy guns have been drawn. Days after a former SEC commissioner and others filed lawsuits claiming some SPACs violate the securities laws by not ...
Without adequate policies, procedures, training, and supervision in place at Frontier, certain IARs failed to reasonably assess whether the Feeder Fund was suitable for each ...