"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...
Reps have long sought to take their clients with them to greener pastures. Now this trend is heating up thanks to an infusion of green ...
The Commission wants the party to 'feel the financial penalty of the resolution'
Another topic that remains hot for the advocate is risks related to private fund investing, especially for retail investors
Take a peek at the SEC's revised regulatory agenda, be aware of this potential surprise following a regulatory action, see how PE is changing the ...
The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers
This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
Here's an example of a compliance P&P that outlines what must be reported to the firm under its code of ethics
It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue
The SEC loses again in the High Court, get ready for say-on-pay reporting, court deference to federal agencies falls, and much more