Check your firm’s CRM because staff will type in notes documenting their client conversations
RCW gets some of your IA ad rule questions answered
The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants
Many advisers maintain a log to track items such as gifts and entertainment and political contributions. You may wish to add a new section to ...
“If you’re going to market in the U.S., you have to” show performance. “If you want to play the game, this is the way the ...
Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures ...
The Commission also noted that the lack of preserved records may have hampered their investigations
'We think the dissenting commissioners have it right that the proxy rule doesn’t seem to require what the order implies'
These proceedings arise out of the widespread and longstanding failures of employees throughout the firms, including at senior levels, to adhere to certain of these ...
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads