Investment Advisers

First Heartland had a conflict of interest when recommending certain money market funds to its clients: it had an incentive to recommend cash sweep products ...

The FCA Application asked the Commission to permit certain entities regulated and supervised by both the FCA and the UK’s Prudential Regulation Authority (“PRA”) to ...

"We intend to monitor this important investor protection issue and will evaluate whether additional steps may be needed to address recidivist firms and brokers"

Coburn & Meredith also, by causing certain advisory clients to invest in share classes of mutual funds that paid 12b-1 fees, when fund share classes ...

The items listed in the Regulatory Flexibility Agenda for Spring 2021 reflect only the priorities of the Chair of the U.S. Securities and Exchange Commission, ...

"I worry that average investors may not realize that they hold stock in a shell company rather than a China-based operating company"

"If firms don’t file it, it’ll certainly stick out," Commission had warned

Steben & Company's process as outlined at Professional Compliance Assistance's compliance conference in Atlanta in 2016

A peer shares an LOA that has been successfully used to confirm the registration of accounts at third parties prior to sending wire transfers. This ...

Form CRS violations hit home with dozens of firms, new risk alerts, acknowledging you're a fiduciary and much more