Investment Advisers

A peer shares the firm's form for authorizing the destruction of firm records

The SEC's exams division seeks 20 new staffers, with some dedicated to examining “the growing number of registered investment advisers, including those that advise private ...

Technological advancements, changing demographics and rapid growth are capturing the attention of the Division of Investment Management

Rules would restructure dramatically the way that qualified custodians provide custody services,' attorneys warn

You now have until May 22 to share your comments with the SEC

"It makes you wonder whether the Commission believes that there is something fundamentally wrong with the markets in the asset management industry.  Because unlike the ...

"This proposal recognizes that advisers must take these threats seriously, that clients and investors deserve better disclosure about cyber incidents"

Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...

"I am hopeful that broker-dealers and clearing agencies will make efforts to assist retail investors in exercising their options if the investors wish to do ...

The current Reg S-P requires firms to alert customers how they will use their information. The SEC proposed amending Reg S-P in 2008 but it ...