In a sign of things to come, Charles Schwab has eliminated mailing paper and CD statements to investment advisers. Instead, the company refers clients to ...
When Victoria Hogan served as an SEC examiner, she always took away a good impression of a firm's due diligence efforts when it could produce ...
This could be the story of the year for compliance staff to clip and show their bosses. The SEC last week began a failure to ...
Perhaps it was the summer time but fails to deliver securities fell 25% compared with the second quarter of 2009, according to an IA Watch ...
As Congress begins to dig its hands into the Investor Protection Act, the fight over a fiduciary duty definition heated up last week with a ...
The notion of "mixed use" under soft dollars dates to 1986, although some firms remain confused about what fits within the safe harbor. Ironically, some ...
Examples of Form ADV Part II disclosures regarding soft dollars, courtesy of Fifth Third Asset Management in Cincinnati.
The lawsuit filed in New York state against Bernie Madoff, Tremont Partners and others claiming fraud and breach of fiduciary duty. The suit contains allegations ...
An example of a web-service agreement provided by one of your peers. Some suggest you have clients sign agreements like this and maintain them as ...
A copy of an SEC document request letter from the Midwest, stemming from a 2009 exam.