The influencer's and the index provider's fee structure and the lack of disclosure surrounding the engagement proved problematic
Cropped shot of unrecognizable businesspeople using their wireless devices in the office
In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...
Stock market in Manhattan by Wall Street
The Commission’s new regulatory agenda lists several upcoming new IA and B-D rules—all of which the agenda states are due to be finalized in April
Laundered dollars hanging on a rope with clothespins
FinCEN wouldn’t mandate that an RIA’s CCO oversee its AML program. However, it does point out that “the presence of a compliance officer may reduce ...
SEC Commissioners
After the SEC proposed new rules in 2022 designed to force more entities to register as dealers, the Commission received many comments asking that investment ...
Business people watching a presentation on the whiteboard. A man is writing on the whiteboard with charts and graphs. They are sitting in a board room, there are laptop computers and technology on the table. All are casually dressed. There is a window behind him with city views.
It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...
IRS word on a wooden cubes on chart background
If your firm manages a donor advised fund, hurry. You have until Thursday to comment to the IRS about a new proposal that could tax ...
“I think Oppenheimer had an opportunity to prevent all of this from happening,” an investor says
Multiethnic group of businesspeople sitting together and having a meeting in the office.
Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...
Group of Business People Celebrating an African Colleague Birthday in the Conference Room. A Team Celebrating Colleague's Birthday in Office During a Meeting.
Annually quiz staff on where they’re getting gifts from, and use the occasion to remind them they do need to report them to compliance
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