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An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
“There’ll be a lot more ads to approve” if the proposal is finalized
A guide to help you comply with the custody rule
Some of his widowed victims came to him through an elder care placement center owned by his wife
OCIE considers "dozens" of potential risk factors when identifying exam targets
It doesn't always pay to listen to the boss
SEC FAQs to help you with Form ADV
Reconciliation touches client fees, trades, expenses, performance, trade errors, allocations, withdrawals and more
An 8-page cybersecurity questionnaire for your vendors
Download the latest quarterly compliance calendar from RCW
The 2020 will cover a broad array of topics
These items become effective this year
SEC proposes changing the advertising rule for the first time in decades
A compliance program risk and gap analysis tool courtesy of Krista Zipfel in Newport Beach, Calif.
Use this tool to improve your oversight of your firm's advertising
Lessons learned and best practices to bolster your cybersecurity
Proposed rule's regulatory language regarding testimonials

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