It's a situation almost any adviser could find itself in these days when valuations fluctuate or defy easy assessment. Earlier this month the SEC dropped ...
Satisfy the SEC's vision of your job and you're a long way toward success. So let's examine another CCO duty on the list of 24 ...
This story begins a series in which we'll pass on expert guidance to help you comply with the SEC's new requirement for a narrative brochure ...
This news recalls Claude Rains declaring that he's "shocked, shocked" to find gambling at Rick's Place in Casablanca but it appears brokers are telling the ...
IA Watch has obtained a new SEC document request letter being used in a current sweep exam of advisory firms. The seven-page letter focuses "on ...
Many of your peers will take comfort from the pending registration of hedge and private equity fund advisers who serve as subadvisers but this development ...
Our story last week on best practices when dealing with elderly investors (IA Watch, Aug. 16, 2010) just so happened to coincide with the SEC's ...
Rhonda Breard filled the airwaves around Seattle with ads selling her financial advisory services using a line taken from the Beach Boys' song Help Me ...
People take in information differently in today's culture so it may be best to communicate your firm's compliance policies and procedures through the use of ...
You may have been waiting for this for two years, since the economic debacle of 2008: a job market that embraces CCOs like the arrival ...