Some firms have already published their Form CRS. Here are some examples
SEC monitoring the IA and IC space for failures that could suggest underlying problems
The SEC was clear in detailing what was lacking from a disclosure standpoint
Before engaging in a principal trade, an adviser would first have to disclose certain information to the client
Staff are thinking creatively to connect with clients
Adherence with the government’s rules around the PPP loans will fall to advisory compliance staff
Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...
The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...
Like a criminal case, a subject of an SEC deposition can take the Fifth Amendment
The dual registrant will now pay a $5 million penalty
How to direct your 13F questions to the SEC
Client services staff should “do a random sampling” each month, pulling 10 invoices and double-checking the math
Digital advisors and broker-dealers sprung up as a way to simplify the lives of ordinary investors. Now those companies that famously disrupted the financial services ...
A client could sue for breach of contract. “It’s pretty easy to calculate the damages” should that occur
The IAA: The proposal remains vague and would leave advisers open “to second-guessing in hindsight"
5% of advisers use an outsourced CCO compared with 4% in 2019 and 3% in 2018
Even as the SEC is weighing changes to its fund valuation rules, it hasn’t stopped enforcing current ones, as mutual fund adviser Semper Capital Management ...
Proposed SEC rules that would allow registered investment companies to delegate fund valuations to their investment advisers represent an excellent opportunity for IAs to get ...
If an adviser uses the PPP money to pay the salaries of your employees you would need to disclose this fact
“They hacked our Wi-Fi in 8 seconds”
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