Investment Advisers

Frustrated businessman hitting hammer on central processing unit in office.
A peer shares the firm's form for authorizing the destruction of firm records
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
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
Crowd booing
You now have until May 22 to share your comments with the SEC
SEC Commissioner Uyeda
"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 ...
William Birdthistle
"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 ...
SEC Commissioner Crenshaw
"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 ...
Digital illustration of hand reaching out from a laptop screen to steal a credit card. This illustrates the cyber crime of identity theft and credit card fraud.
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 ...

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