Investment Advisers

Among the items in the mammoth recently passed defense bill was a provision that gives the SEC up to 10 years—twice the previous limit—after a ...

Led the Obama-Biden Administration's reform of the $400 trillion swaps market

New SEC rules around use of testimonials, failing to listen to a CCO may have led to a firm's demise, more time for the SEC ...

This is a sample best execution policy from a peer

A cyber checklist of the steps a firm took to create a cyber program

The investment adviser must have a reasonable basis for believing that the testimonial or endorsement complies with the testimonial requirements

The ICO concluded that the UK GDPR does not impose legal barriers to the transfer of personal data from these entities directly to the SEC ...

Here is a list of actions to take should your firm have growth to the threshold for SEC RIA registration

As rule 17f-2 assumes actual physical possession of underlying securities (i.e., the certificates)[6], you propose that the Funds cease providing the Loan Documents to their ...

The firm's Chief Compliance Officer recommended that Spitzer terminate APA’s association with the Adviser Representative however Spitzer decided not to. Now he's fined $20,000