Investment Advisers

This is a sample memo for firms to notify staff of a government investigation, courtesy of Mark Egert, a partner with Crowell & Moring in ...
This is a crisis handbook shared with permission of Mark Egert, a partner with Crowell & Moring in New York. Egert created this handbook to ...
Your heartbeat may have picked up a bit when the Wall Street Journal Sept. 10 reported on a sweep exam by OCIE that probes hedge ...
We've shared techniques your peers use to monitor the trading desk (IA Watch, May 10, 2010). You also may consider simply flipping through the trade ...
During the week the SEC's new pay-to-play rule took effect, the agency set up a short compliance guide to help advisers navigate the rule. The ...
What a stunning statistic: Over the next 20 years, 10,000 Americans will turn 60 years old every 24 hours.Tod Sawicki, a partner with Alston Bird ...
Now investors have been heard from on the fiduciary duty standard. A coalition that supports broadening the standard to broker-dealers commissioned a study of 1,319 ...
The impact of that rough patch from 2008-2009 gets reflected in a new survey of RIAs, including how compliance fared. The recent annual survey of ...
The need for adequate disclosure ripples through the advisory industry like an unabated stream. The flow doesn't end when you hand off clients to sponsors ...
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