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The firm was asked to hand over everything from a list of retail customers to fee “grids or schedules” to information on any “bonuses or ...
The SEC employs more than 4,300 people, with 1,065 attached to OCIE. The FOIA response includes 1,012 names
Document who was involved in the process, the date of a meeting and the result. Commit these items to paper and “your exams are going ...
However, if you’re unclear in what capacity you’re acting then you “should assume that both Regulation Best Interest and the Investment Advisers Act would apply
The proposal would move “fund disclosures to the 21st century” by urging funds to use interactive and “user-friendly design features” to help investors “customize” information ...
Failures stemmed from allocations tied to day trade and buy-and-hold clients
Another test this CCO does routinely really paid off this year. The CCO keeps a spreadsheet listing items from recent OCIE document request letters and ...
The SEC has formed a new task force that regulators hope will help keep them ahead of market crises. The team, officially called the Event ...
Investment advisers are already struggling at laying out their firms’ relationship summaries, the SEC says. IAs were required to publish their Form CRS beginning June ...
Create a spreadsheet at the start of the year that features a gap analysis of your compliance manual
Other fraudster techniques deployed by Carter that you could add to your surveillance toolkit include confirming the identifies of account beneficiaries
A slew of circumstances can bring on diminished capacity. The report speaks of accidents and injuries, drug abuse and medications. But aging tops the list
Three VALIC employees worked to steer union members to the advisory firm while being “deceptively identified” as union employees
“If you’re not good at compartmentalizing, then don’t try this because you’re only going to ruin your vacation"
Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...
The former SEC staffer called the proposal “fundamentally flawed” and “not legally viable”
Of the minority that did report the virus impacted them, many indicated they had to enhance their BCP, ran into some internal operational issues or ...
Those who help tax cheats face increased risk of enforcement. These can be lawyers, bankers, investment advisers and others
One said you can try to lay low and hope the CUSIP owners will go onto another target. The second said you can definitely negotiate ...
UBS circumvented the priority given to retail investors in certain muni bond offerings
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