Earlier this year, a committee urged the Commission to take up IA arbitration clauses. The new policy approved this month suggests it’ll be in no ...
FinCEN solicits your comments by Oct. 22 on whether its AML rule for advisers should ever see the light of day
You couldn’t be blamed if you feel as if your head were spinning when it comes to trying to keep track of where the fiduciary ...
"Tying a programmer’s compensation to IT investment models that he could manipulate may have allegedly proven too tempting for an RIA’s computer wiz to secretly ...
Which would you choose? Love or money. One adviser tried to have both and has now been barred from the industry and fined
The SEC and Congress are considering changing laws to allow for the delivery of financial documents electronically as the default delivery method
Expect SEC examiners to inquire about your efforts to comply with amended Reg S-P, so it's best to document your compliance prep steps
The SEC has welcomed many advisory committees over the years but one that it has never endorsed is a compliance advisory committee. The Commission is ...
So far so good except the firm erred in what it disclosed about the program
Another lesson this case presents is don’t promise the SEC you will do something—and then not do it