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Two words of caution about vendors: they can be very expensive and “the accuracy of the data and whether or not it’s current”
Reps will be given a checklist for submitting a testimonial for approval. The form would indicate whether the testimonial came from an existing, a new ...
David Chiueh wore multiple hats at Upright Financial Corp. ($68M in AUM) in East Hanover, N.J.—president, portfolio manager and chief compliance officer. A new SEC ...
This is what the new SEC IA ad rule says about use of testimonials
"We just don’t have enough investor protection in crypto. The American public is buying, selling, and lending crypto on trading, lending, and decentralized finance platforms, ...
Matt Lovett, CCO at Brookstone Capital Management ($3.5B in AUM) in Wheaton, Ill., shares his firm's new testimonial P&P under the SEC's new IA ad ...
Upright Trust maintained no written policies and procedures .... did not have any specific procedures on calculating the NAV, and there were no procedures designed ...
Institutional investors and investment advisers generally retain PVABs to assist with voting determinations on behalf of their clients as well as “other aspects of the ...
The intimidation against Neff, a former compliance officer, peaked two years ago, just days before she was due to hold a news conference in New ...
Tips to help you prepare to comply with the rollover exemption, a whistleblower's story, a record year for enforcement and much more
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