There’s no prohibition against advisers conducting podcasts. Indeed, the SEC has given them a try itself
While the Dow increased 5% in calendar year 2020, the AUMs of the top advisers grew an average of 19% over what they reported last ...
The new FAQ states that as “long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances related ...
Carter also was ordered to begin paying $4.3 million in restitution within 30 days of his release from prison, with monthly installations of at least ...
Find out where they keep a backup of their data and how often they update it. Document your due diligence and keep the other party’s ...
Two clear pet peeves among the compliance consultants are advisers failing to share information and documents necessary for them to properly do their jobs. “Every ...
A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...
The SEC has turned aside a request from the nation’s largest stock exchanges to hold the Commission’s new market data infrastructure rules but it’s only ...
“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...
The attorney noted “generic statements such as these are pervasive in the market, they are made by all of Goldman Sachs’ chief competitors, and that ...
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