INVESTMENT ADVISER NEWS & GUIDANCE
9/21/2017 | Content area: Investment Adviser
They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases of suspecte...
9/21/2017 | Content area: Investment Adviser
“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk al...
9/21/2017 | Content area: Investment Adviser
You may well be among the millions of Americans shocked to learn of the widespread cyber hack of Equifax’s sensitive customer data to do what Donna By...
9/21/2017 | Content area: Investment Adviser
If your fiscal year end requires you to update your Form ADV by November – or a material change prompts an early update – you will run into the new fo...
9/21/2017 | Content area: Investment Adviser
This week, representatives from the Investment Adviser Association are scheduled to meet with staff in OCIE and the Division of Investment Management ...
9/21/2017 | Content area: Investment Adviser
SunTrust Investment Services knew it was just a matter of time before an SEC enforcement penalty would be handed down. In mid-2015, during a complianc...
9/21/2017 | Content area: Investment Adviser
Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for...
9/14/2017 | Content area: Investment Adviser
The recent U.S. Court of Appeals for the 2nd Circuit’s 2-1 decision affirming the insider trading conviction of a former portfolio manager hammers ano...
9/14/2017 | Content area: Investment Adviser
Be sly with those who do bad things with computer code by using another code.   “We’re developing customized security questions for each of our client...
9/14/2017 | Content area: Investment Adviser
October 2015. That’s the last time the SEC consisted of its full five commissioners. President Trump’s nomination of Columbia University Law Professo...
9/07/2017 | Content area: Investment Adviser
KMH Wealth Management CCO Phyllis Keller was thinking this past spring of clever ways to conduct a mock disaster recovery drill (IA Watch, March 30, 2...
9/07/2017 | Content area: Investment Adviser
You’ve a mortgage. Kids nearing college. Your spouse invites an elderly relative to live with you. And you discover your firm doesn’t take compliance ...
9/07/2017 | Content area: Investment Adviser
The SEC announced Aug. 31 that Dalia Blass has been named the director of the Commission’s Division of Investment Management.  Blass, who is coming fr...
9/07/2017 | Content area: Investment Adviser
A lawsuit by a former senior vice president at UBS Financial Services has become the latest battleground over the breadth of protections due employees...
8/31/2017 | Content area: Investment Adviser
You’ll have until Sept. 14 to comment on the Labor Department’s new proposed rule that would delay its controversial full fiduciary duty rule until Ju...
8/31/2017 | Content area: Investment Adviser
It’s doubtful that you’d place e-mail reviews at the top of your list of favorite tasks to do but it’s certainly one that must be done.   One CCO tell...
8/31/2017 | Content area: Investment Adviser
Believe the enthusiasts and blockchain will revolutionize the industry like the internet. Listen to skeptics and it’s a murky world with hidden risks ...
8/31/2017 | Content area: Investment Adviser
The myth has been busted—yet again. Dawn Bennett, the former radio host of Financial Myth Busting with Dawn Bennett, who for years operated a financia...
8/24/2017 | Content area: Investment Adviser
That new guidance from the SEC earlier this year about the custody rule has made its way to OCIE exams (IA Watch, Feb. 23, 2017).   A CCO reports to I...
8/24/2017 | Content area: Investment Adviser
It’s nice to have choices. One is to calculate your client fees off of the trade or settlement date.   Which one should you select?   “We have had tha...
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