The internal working groups of key SEC personnel responsible for congressionally mandated studies of the fiduciary duty standard and a possible SRO for advisers hosted ...
The SEC's new pay-to-play rule keeps touching off questions (IA Watch, Nov. 22, 2010). The latest is whether a foundation or endowment of a public ...
It seems appropriate that a new SECsweep letter probing use of electronic media should appear out of the ether. IA Watch has obtained what's described ...
We've chronicled the woes of Diane Keefe, the former PM at Pax World Management Corp. ($254M in AUM) in Portsmouth, N.H. before (IA Watch, April ...
For the second time in two years justices of the U.S. Supreme Court heard a case involving an RIA (IA Watch, April 19, 2010). Oral ...
You can continue to use the SEC's sample clauses under Reg S-P in your privacy notices next year but the safe harbor around their use ...
Think back two years to when the market crisis provoked fear, helped to swing a national election and drew predictions of coming massive financial regulatory ...
A peer shares the firm's annual privacy notice.
This is a portion of what has been described to IA Watch as an SEC sweep exam letter to some RIAs in 2010 related to ...
This is the model privacy form from the government designed for firms with no affiliate opt outs.