Investment Advisers

Sources assert this is an SEC enforcement letter that went to a broker-dealer in the agency's investigation of the business use of e-commmunications channels

Check out a peer's matrix for finding potential political contributions by staff

The "staff, pursuant to the exemptive orders, requests that, in digital advertisements, non-transparent ETFs use either the text and formatting of the Risk Legend as ...

IA "numbers have grown significantly in the last five years. Registered investment advisers grew by 22 percent—to about 15,000, up from approximately 12,500 in 2017. ...

This 2023 risk alert looks at issues that have popped up in exams of new RIAs

“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats

More tips to succeed with the new ad rule, guidance to be sure to destroy e-devices, principles-based rules go both ways, and much more

In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...

Eliminating sensitive computer data can be as stubborn as a tempestuous two-year-old. But failing to do so, can come with a high cost

A peer shares the firm's P&Ps around records destruction