Say one client needs to sell some shares and your portfolio manager crosses the trade with another client. How can you be sure that the ...
Firms with longstanding clients can witness all of the stages of life, including aging clients who begin to decline physically and mentally. Our fast-growing elderly ...
It didn't take lawmakers long to try to amend the new financial regulatory reform law. A group of four senators - Democrats and Republicans - ...
A peer shares a communication to staff to give them guidance for dealing with seniors and clients who may suffer from dementia.
A copy of the letter Gary Aguirre sent to the SEC in January 2009, which he believes sparked a re-opening of the SEC's investigation into ...
A copy of an SEC document request letter issued in 2010. Our source tells us this letter came from a “surprise exam” of an RIA.
Investment Company Institute: No-Action letter dated August 10, 2010 Investment Company Act of 1940 — Rule 2a-7 Investment Company Institute Request for Interpretation under Rule ...
The staff has been asked whether an investment company registered under the Investment Company Act of 1940 ("Investment Company Act") or a company that has ...
Last week we answered whether having a letter of authorization constitutes custody (IA Watch, Aug. 2, 2010). Keith Marks, a partner at Ascendant Compliance Management ...