The topic of soft dollars has lost some of its luster among examiners but enforcement actions continue to emerge from the agency. Expenses, however, remain ...
One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year ...
The adviser takes additional precautions. After the 10-day period passes, its analysts can see only a 'high-level summary' of the networking firm’s interview with a ...
'Do not make it more difficult for investment advisers to engage in proxy voting or to use' proxy advisory firms, wrote one commenter
You may well be thinking, 'wait, I thought the nation’s High Court already took up this issue.' Well, you’d be partly correct
The DOL has stated that it will begin enforcing at the end of this month whether ERISA fiduciaries are following the department’s five-year-old impartial conduct ...
Many firms periodically visit branch offices to show compliance is watching
Take a look at what's being predicted to cross your path this year
Sample what fellow CCOs aim to achieve this year--and gain some ideas for your program
Our annual table informs you of new rules due to take effect this year
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