This is the week the SEC is to deliver to Congress its so-called section 914 study (IA Watch, Dec. 13, 2010). Many believe the Dodd-Frank ...
Last week's $119 million settlement between the SEC and Charles Schwab Investment Management ($204B in AUM) in San Francisco supplies a virtual scorecard for needed ...
If you're like most advisers, you're nowhere near finishing your plain-English Form ADV, Part 2 brochure. Book extra time, turn to colleagues, use a template ...
A central theme develops from many of the comments received by the SEC in its latest effort to weigh reforms to money market funds. The ...
Be alert. You might be required to register as a municipal advisor even if you don't really consider yourself one (IA Watch, Dec. 20, 2010).The ...
A 2011 notice of a Department of Labor hearing in Washington on a proposed new definition of a fiduciary for an ERISA plan.
Click here to open an Excel document that is a marketing review log courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...
Click here to open a Word document that is a marketing review form courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...
This is a copy of a letter New York City authorities sent to investment advisers in 2011 warning them they may have to register as ...
This is a continuation of the SEC's no-action relief for broker-dealers to rely upon an investment adviser's customer identification program (CIP). This letter is due ...