INVESTMENT ADVISER NEWS & GUIDANCE
11/22/2017 | Content area: Investment Adviser
It’s the gift that keeps on giving: the challenge of mastering the SEC’s custody rule. The puzzle takes a new turn with Form ADV season approaching fo...
11/22/2017 | Content area: Investment Adviser
You can call them virtual, digital or alternative currencies but more and more people refer to them as cryptocurrencies and see them as one thing: mon...
11/22/2017 | Content area: Investment Adviser
Regulators continue to caution the industry and investors on the potential pitfalls of initial coin offerings. SEC chairman Jay Clayton is the latest ...
11/16/2017 | Content area: Investment Adviser
Catherine Hetrick was hoping the new Form ADV, Part 1 would permit her to notice file for New Mexico and be done with it. Not so.   The CCO of Stack F...
11/16/2017 | Content area: Investment Adviser
A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s ...
11/16/2017 | Content area: Investment Adviser
In the wake of the landmark Kokesh v. SEC decision, the Commission’s Enforcement division will redouble its efforts to bring cases as swiftly as possi...
11/14/2017 | Content area: Investment Adviser
Many signs point to the SEC upping their exams of IAs. Earlier this year, there was a prediction of a 25% increase in IA exams year-over-year (IA Watc...
11/09/2017 | Content area: Investment Adviser
Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropri...
11/09/2017 | Content area: Investment Adviser
The First Amendment’s been in the news again lately, prompting debate about football players kneeling during the national anthem. One aspect of the am...
11/09/2017 | Content area: Investment Adviser
The aging of the U.S. population and the current regulatory focus on the protection of seniors have made detecting the warning signs of suspected guar...
11/03/2017 | Content area: Investment Adviser
The YouTube video featuring Knights of Columbus Asset Advisors ($22B in AUM) in New Haven, Conn., notes the “Powerball Jackpot is $800 million dollars...
11/03/2017 | Content area: Investment Adviser
While money laundering allegations captured the glare of headlines following Paul Manafort’s indictment last week, most charges in the case against th...
11/03/2017 | Content area: Investment Adviser
Most of the $35 million the now-bankrupt RIA F-Squared Investments paid in an SEC settlement represented “disgorgement” – or punishment for how invest...
11/03/2017 | Content area: Investment Adviser
The question for the U.S. Supreme Court to decide is whether an employee deserves the label of a whistleblower – and thus anti-retaliation protections...
11/03/2017 | Content area: Investment Adviser
SEC chairman Jay Clayton appeared to downplay chances that regulators would be able to agree on a single fiduciary standard suitable for all investors...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
10/27/2017 | Content area: Investment Adviser
The SEC has removed the “acting” from Peter Driscoll’s job title and elevated him to OCIE director. He had been named as acting director in January.  ...
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
The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview m...
10/26/2017 | Content area: Investment Adviser
Bradford Eichler had grown up with Capi Peck’s ex-husband. Their friendship dated back decades. So when Peck ran for the job of director of the Little...
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