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More than half of Horter Investment's reps hired since November 2014 were deemed "high" or "moderate" risk
JW Korth did not disclose before the completion of each transaction the capacity in which it was acting
Out of sight, out of mind, goes the old phrase. Your peers try to combat this notion by keeping their colleagues constantly thinking about compliance
Exchange-traded funds definitely seem to be an industry darling these days, and some advisers to private, mutual funds and even separately managed accounts are courting ...
Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...
Frontier Wealth's reps failed to reasonably assess whether investments in a complex product were suitable for clients
The heavy guns have been drawn. Days after a former SEC commissioner and others filed lawsuits claiming some SPACs violate the securities laws by not ...
You can’t beat the price of the software that tests the strength of his firewall. “It’s absolutely free,” says the CCO
A few weeks ago we reported on an apparent solution between Swiss authorities and the SEC that would open up the pipeline for new RIAs ...
This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

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