Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
Lapse in forming an Investor Advisory Committee an issue
Looking to identify IAs who outsource voting decisions
DB Fitzpatrick “terminated the chief compliance officer at the time of the Contributions and hired a new chief compliance officer
The three allegedly altered and withheld documents after OCIE examiners commenced an exam in 2016
The ICI declares that there “is no legal basis under the Investment Company Act to restrict closed-end funds’ use of certain common takeover defenses limiting ...
Contact the Commission with guidance or relief requests
SEC remains 'fully operational'
Strings attached if you wish to delay filing Forms ADV and PF
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
You may not include disclosure in the relationship summary other than disclosure that is required
The SEC has been reaching out to firms to talk about COVID-19
Has your CCO changed in the last year?
A revised form would require the disclosure of the compensation paid to investment advisers
Look out for traps in nursing home contracts
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
Documents supporting RAUM figure found to be misleading
IAs and B-Ds would have to have “sufficient information to evaluate an Offeree’s financial circumstances and sophistication
Industry comments signal an organized campaign to deluge the SEC and steer the regulator away from going through with proscribed compliance due diligence steps
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