You're probably debating the idea now: Should we produce the new narrative brochure in-house or hire an outsider? If you want to outsource the task, ...
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 ...
An overview of the new Form ADV rule from the SEC. This includes a good comparison between the existing Form ADV, Part 2 and the ...
This is an interactive PDF document that you could use to build your Form ADV, Part 2 brochure supplements. This is a tool created by ...
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 ...