Investment Advisers

Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions
Lapse in forming an Investor Advisory Committee an issue
Looking to identify IAs who outsource voting decisions
DB Fitzpatrick “terminated the chief compliance officer at the time of the Contributions and hired a new chief compliance officer
The three allegedly altered and withheld documents after OCIE examiners commenced an exam in 2016
The ICI declares that there “is no legal basis under the Investment Company Act to restrict closed-end funds’ use of certain common takeover defenses limiting ...
The Commission intends to continue to monitor the current situation
The order, tied to the coronavirus, also extends to Form PF filings
Contact the Commission with guidance or relief requests
Strings attached if you wish to delay filing Forms ADV and PF
Boggs misappropriated his clients’ money by selling securities in their advisory accounts and then transferring the proceeds to his personal credit card account
HSBC Securities provided false and misleading disclosures to clients about its IARs’ conflicts because it stated that IARs did not receive compensation based on advisory ...
It is not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved its content.
Teri McCasland, VP/CCO of SFE Investment Counsel in Los Angeles, shares her draft of her Form CRS
What your peers are doing in response to the coronavirus, instructions for completing Form CRS, OCIE will note if you change CCOs and much more
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
You may not include disclosure in the relationship summary other than disclosure that is required
The SEC has been reaching out to firms to talk about COVID-19

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