Investment Advisers

Let's jump right into your questions. Must you provide text under the heading "Material Changes," if you include this section in your new plain-English brochure? ...
The biggest provisions within the SEC's pay-to-play rule take effect next week. Consider this scenario: a disgruntled employee next month announces he's leaving your firm. ...
This is the SEC's proposed rule released in March 2010 that would remove references to credit rating agencies in Investment Company rules and forms.
A peer shares a format for writing an annual review report.
The partisan divide in Washington could be seen in Wednesday’s 3-2 vote by SEC commissioners approving a proposed rule that would require investment advisers and ...
No-Action Letter: ICE Trust U.S. LLC (March 1, 2011) Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Trust U.S. LLC March ...
Click here to open an MS Word document that is a new account checklist courtesy of Michelle Kennedy, president of Compass Compliance Services in Greenville, ...
Click here to an MS Excel of a risk matrix created following an annual review. This example comes courtesy of Stephanie Brown, the CCO at ...
If all of a sudden an elderly client ends his long-standing relationship with your firm, the termination could be a tell-tale sign of trouble. FinCEN ...
Last week the GAO issued a report investigating target date funds and recommending the Department of Labor amend its proposed rule to require fiduciaries to ...
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