Investment Advisers

This checklist comes courtesy of Steven Felsenthal, GC/CCO at Millburn Ridgefield Corp. in New York

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RTW failed to disclose conflicts of interest, made statements that omitted material facts, and failed to adopt reasonably designed written policies and procedures regarding RTW ...

RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel

The marketing rule and ESG, Reg BI violations prove costly, ideas for handling charitable contributions and much more

A peer shares a DOE request that focused on cybersecurity

Advisers take various positions when it comes to making charitable contributions—either as a firm or by an access person

This is an example of a DOE document request letter issued to a newly registered investment advisory firm

The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why

Sciens’ Compliance Manual did not mention any valuation techniques or methodologies applicable to Level 3 Investments, and further lacked procedures designed to promote consistency in ...