Investment Advisers

Federal judge strikes down the SEC's dealer rules, a former broker-dealer rep faces criminal charges over the treatment of elder clients, a convicted investment adviser ...
Traveler riding a moving sidewalk in an airport
After one actor auditioned, Beam informed the man he got the job, but that Beam 'needed his passport to make the travel arrangements.' Armed with ...
handsome 35 year old man in casual shirt goofed.
Paulson filed a SAR in which the narrative stated that in reviewing a request to approve margin trading for a client’s account. However, failed to ...
Lost Something. Looking For Keys Or Things
The didn't contain the information as required by FinCEN, such as the “five essential elements”—namely the “who, what, when, where, and why” of the suspicious ...
Accident. stumble and fall while jogging
This SAR narrative failed to include all of the information required by FinCEN, including the time-frame of the suspicious trades; details about the trading, such ...
Security of money
Remember that you have a compliance obligation to obtain an initial and an annual notice from these clients confirming that their SLOA instruction remains valid
Male and female professionals teamworking during brainstorming cooperation on paper documents, group of diverse employers discussing corporate investment of firm capital briefing in conference room
The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen
successful Asian businessman flies in private luxury jet with glass of champagne and listens to music in headphones, Korean entrepreneur in suit rests and relaxes in airplane, luxury lifestyle
It remains a best practice for advisers to produce a written annual review
SEC Chairman Gary Gensler
"It has been an honor of a lifetime to serve with them on behalf of everyday Americans and ensure that our capital markets remain the ...
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Understanding the custody rule and its future, marketing mistakes to avoid, the road ahead for private funds and much more
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