Investment Advisers

"Today’s proposal stretches a very limited data collection tool beyond its intended purpose"
"The proposed amendments to Form PF are thoughtfully tailored and informed by more than a decade of experience with the form"
The Commission publishes its regulatory agenda
The route most advisers would take to limit avenues of business communications would be via their compliance P&Ps
A peer shares the firm's rollover form created to comply with the Labor Department's new rollover exemption
Your peers who got the jump on the new SEC IA ad rule, changes proposed to private fund adviser exemption, ID theft failures and more
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
One of the proposed changes would have advisers notify the DOL that they’re using the exemption, and perhaps mandating the reporting of their CRD number
The SEC simultaneously announced three enforcement actions against firms for violating the identity theft red flags rule
The key avenue that a cyber bad guy could use to infiltrate your system via an MSP comes through its remote monitoring and management (RMM) ...

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