One letter permits an investment company to offer investors more options to purchase precious minerals through an investment adviser owned by the fund board. The ...
Here's the scenario, raised by a peer: The adviser prepares an RFP to seek new business. A subadviser wants to augment the RFP with an ...
Client complaints are more likely in a shaky market, although they can arise at any time. Some firms experience few, if any, while others attract ...
You may not engage in public pension business now, but it may be a smart decision for your firm to comply with recordkeeping rules in ...
A compliance officer in Pennsylvania summarizes the conundrum - ah, let's make that, problem - with the SEC's demand that advisers create a plain-English Form ...
Now that the clock ticks toward a deadline to comply with the SEC's Form ADV revisions, the words of a CCO in Baltimore may sound ...
Click here to open an Excel file that one of your peers, Paula Bosco of New Mountain Capital in New York, agreed to share with ...
This is a compilation of state rules for reporting elder abuse. Gary Gushard, an attorney with Tucker Arensberg in Pittsburgh, compiled this list.
The SEC's proposed rule that would eliminate 12b-1 fees and transition to a new 12b-2 fee. This was released in August 2010.
You may be asking this same question if a client or trustee has granted your firm permission through an LOA to dip into his account ...