IA penalized $60K for running afoul of the Commission's pay-to-play rule
The resounding message is don't advertise hypothetical performance on your public websites
A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...
You may not always agree with your regulator’s stance but you often have little choice but to heed it
Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...
Heed the lessons of the SEC’s latest off-channel communications enforcement action against an adviser and you may well sidestep a similar fate
This is a fundamental violation of an investment advisers’ fiduciary duty to act in the best interest of its clients, according to the judge
The final rule states that human-directed 'client-specific investment advice, even if delivered through electronic means, would not be eligible activity under the Internet Adviser Exemption'
One of the seven FAQs addresses IA recordkeeping requirements tied to T+1 transition
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