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Questions would like to hear from the industry on detailed
A peer shares the firm's form it uses to document a client's investment objectives
Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCIE.
That result doesn’t sit well with the Investment Adviser Association
Burroughs "misappropriated his clients’ money, and provided his clients with fake documents to cover up what he had done"
Reconciliation touches client fees, trades, expenses, performance, trade errors, allocations, withdrawals and more
Proxy Voting
The proposed amendments would codify the Commission’s interpretation that proxy voting advice generally constitutes a solicitation
"Modernizing old rules is one of the Division’s major themes. We are pursuing this on a number of fronts"
Nearly 50 regulatory rules are being considered by the SEC
SEC proposes derivatives rule, disclosure failures, CFTC aims for harmony
Four FAQs make up the SEC's first on the new form
The adviser didn't disclose that some Clients paid a lower commission rate than others
The SEC specifically notes that these new duties wouldn’t “supplant or by itself satisfy” an IA’s fiduciary duty
Goulding "used Nutmeg as his personal piggybank"
Any final rule would replace decades worth of SEC guidance
Defendants used the money to make Ponzi-like payments to investors and to fund Merrill's and Ledford's extravagant lifestyles
Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility
Channing did not disclose to all affected Clients that some Clients in certain block trades paid a lower commission rate than other Clients who participated ...
Lee's trading enabled the S.A.C. Capital hedge fund that he managed to generate more than $1.5 million in illegal profits
The SEC's rulemaking agenda, tips for complying with Reg BI/Form CRS, the 'Cannibal cop' & the CCO
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