INVESTMENT ADVISER NEWS & GUIDANCE
4/20/2017
If beauty is in the eye of the beholder, then deciding what qualifies as a material change lies in the hands of the Form ADV brochure writer.   Now th...
4/20/2017
It took a jury five days in 2014 to decide that Charles Kokesh committed securities fraud by stealing tens of millions of dollars at two investment ad...
4/20/2017
For some industry heavy hitters, the 60-day delay of the DOL’s fiduciary duty rule implementation is simply not enough (IA Watch, April 5, 2017). The ...
4/20/2017
As many predicted, another state has jumped in with proposed new cybersecurity requirements for investment advisers and broker-dealers. Late last mont...
4/13/2017
The 60-day delay in the Labor Department’s fiduciary duty rule gives you more time to comply even if you’re left to spend it wondering what you’ll ult...
4/13/2017
Washington may be undergoing dramatic changes but there’s one constant: OCIE’s increasing exams of investment advisers.   “OCIE is business as usual. ...
4/13/2017
Sandy Katz is considered an “all-star” rep. So when a manager questioned why he wasn’t putting clients into cheaper mutual fund share classes, he “esc...
4/13/2017
Those significant new disclosures for Form ADV kick in this October, but you should be ready for them even if your annual updating amendment isn’t due...
4/13/2017
It may have taken three years of lobbying for the industry to wrest out of the SEC new guidance around custody (IA Watch, Feb. 23, 2017), but the effo...
4/07/2017
Besides the compliance rule, only one other Advisers Act rule mentions the “chief compliance officer”: Rule 204A-1 (code of ethics) – and all but one ...
4/07/2017
The loud pounding upon the door of the fashionable suburban house north of New York City began about 5 a.m., startling the occupants – including three...
4/07/2017
The results are in for IA Watch’s latest flash survey of subscribers. We took at peek at longevity on the job and found that most of you stay with you...
4/07/2017
Dawn Bennett may have chosen to ignore the SEC’s ALJ setting and the Commission but that didn’t stop the two current Commissioners from kicking her ou...
4/07/2017
Senators are going back to the well once more in a bid to increase the SEC’s enforcement penalties and further crack down on recidivist activity. On M...
4/05/2017
The April 7 Federal Register contained a final rule officially pushing off the applicability date of the Labor Department’s fiduciary duty rule for 60...
3/30/2017
The complete story of the hack of an adviser’s critical client data may never be fully disclosed but court records reveal the FBI looked at multiple i...
3/30/2017
You arrive at work to find a most disturbing sign posted on the office door: poison gas present. What would you do?   Phyllis Keller, CCO at KMH Wealt...
3/30/2017
Acting SEC Chairman Michael Piwowar has occupied his perch for little more than two months but has already stirred the ire of Senator Elizabeth Warren...
3/30/2017
Unless your firm’s based in Alabama or South Dakota, you have an obligation to notify clients if their data are breached (IA Watch, Oct. 16, 2014).   ...
3/30/2017
Call it the cell-phone shake-down. A real estate agent in California slaps her cell phone number all over the Internet in an attempt to boost her busi...
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