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Shot of young couple having a consultation with a financial advisor in the office. Group of business persons in business meeting. Three entrepreneurs on meeting in board room. Corporate business team on meeting in modern office. Male manager discussing new project with his colleagues. Company owner on a meeting with two of his employees in his office.
Mutual fund boards must monitor these arrangements in consultation with their investment adviser and legal counsel
Two Brokers in Euphoria
He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"
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"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...
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Lessons from a real-world cyber event, plus guidance to help protect your firm
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A new SEC proposal, lessons learned from a real-life cyber event, testimonial tips and much more
Pen and yellow sticky notes written with Clients Testimonial on wooden background.
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
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This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
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This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).
Proposal bans Commission personnel from investing in financial industry sector funds
SEC Commissioner Crenshaw
"There are market integrity implications to allowing private issuers to grow so big without adequate disclosure or oversight"

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