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States brought nearly 1,700 cases, NASAA says
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads
The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...
A CCO at an ESG firm has an obligation to become educated on the topic
Morgan Stanley charged with falling "woefully short" in the firm's PII protection efforts
One more key difference between GIPS and the SEC is the Commission doesn’t want firms to count returns from accounts that aren’t charged a fee
The onus falls upon the adviser to confirm that its auditor is both registered and subject to PCAOB inspection
Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again
Following a prior exam, the SEC continued to find hundreds of inactive accounts—each regularly paying IA fees—and determined the adviser failed its fiduciary duty in ...
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