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Court of Law Trial in Session: Portrait of Honorable Female Judge Reading Decision. Presiding Justice Pronouncing Sentence. Not Guilty Verdict Judgment.
This is a fundamental violation of an investment advisers’ fiduciary duty to act in the best interest of its clients, according to the judge
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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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Check out what your peers found most valuable on our site last month
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March proved to be a tough month for the SEC in two federal courts. One judge accused the Commission of “gross misconduct” and, in a ...
Financial or taxes fraud. Business report and magnifying glass.
Here are some preventative measures you can take to help prevent similar issues at your firm
Business partner meeting, Collaboration of people in organizations, colleagues congratulate successful projects.
With mergers and acquisitions continuing apace in the industry, know that CCOs can play a key role whenever an advisory ownership change occurs
The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs
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A lot has changed since 2003, especially with technology and the internet, so SEC commissioners have approved a new final rule revising its two decades-old ...
Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.

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