Investment Advisers

Business statistics concept. Marketing. Analysis. Management strategy.
You may not always agree with your regulator’s stance but you often have little choice but to heed it
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Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...
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The QPAM Exemption permits an investment fund holding assets of ERISA plans and IRAs that is managed by a ‘qualified professional asset manager’ (QPAM) to ...
"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"
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This final rule modernizes the internet advisers' rules to account for the evolution in technology and the investment advisory industry since the initial adoption of ...
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Gain ideas from this adviser's code of ethics
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A source shares tips and suggestions for how to handle regulator and examiner interviews
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Heed the lessons of the SEC’s latest off-channel communications enforcement action against an adviser and you may well sidestep a similar fate
A businessman covers his eyes and extends his arm in a futile effort to prevent the inevitable a series of heavy walls from falling on him.
The Commission alleged that in 2013, as CCO, Ronald Heineman ignored red flags and engaged in a scheme to manipulate the price of a stock ...
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Adviser that took on the SEC for years ends up losing, prepare for new trading rules coming in weeks, inside the latest adviser rule from ...
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