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This case offers lessons around the need to uncover unauthorized outside business activity, for compliance officers to dig deeper when they detect red flags, to ...
A band of 26 industry group's send letter to SEC chairman claiming proposal creates a wide range of negative consequences across the U.S. financial markets
The OCC warned the SEC that the rule might sow confusion in the banking industry
Firm and President/CCO failed to implement P&Ps to ensure it understood the material features and risks of complex products
Guidance offers prep tips for before, during, and after a Commission examination
SEC Commissioner sees opportunities for improvement in compliance efforts spawned by AI for both financial institutions and regulators alike
Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again
Issues with the advertisement of hypothetical performance yielded penatlies ranging from $50,000 t0 $175,000
Man is writing succession planning in the book.
A common mistake advisers make is 'they don’t think about the short-term succession plan.' Plans should be prepared to handle short-, medium- and long-term succession
“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023

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