Investment Advisers

This is a DOE document request letter directed at a robo adviser

Initiative is aimed at attempting to alleviate the uncertainty faced by compliance officers when it comes to personal liability

Fully 7-in-10 compliance professionals consider the overall compliance function at their firms to be "under-resourced"

"We made good progress in 2021, finalizing a handful of rules and proposing many others. We have much more to come on the SEC’s Agency ...

"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...

The topic of soft dollars has lost some of its luster among examiners but enforcement actions continue to emerge from the agency. Expenses, however, remain ...

One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year ...

CMG prepared hypothetical, backtested performance results and the backtest was not adequately correlated with the securities they replaced in the live strategy

A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails

A peer shares an example of a form a client would sign to authorize the release of financial information to a third party