Investment Advisers

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'“Look at red flags like cockroaches. If you see one, you should start looking for more just to make sure you don’t have a real ...
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A dive into the new SEC names rule, disclosure issues related to ESG investing, due diligence tips and much more
SEC Chairman Gary Gensler
Gensler tells Congress the final private funds rule "was adjusted in multiple ways based on public feedback on the proposal"
SEC found Deutsche Bank subsidiary made materially misleading statements about its controls for incorporating ESG factors into research and investment recommendations
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AssetMark failed to provide full and fair disclosure of conflicts of interest arising from ATC’s cash sweep program, which transferred, or “swept,” clients’ uninvested cash ...
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Neither the adviser or its principal mentioned that the money invested by clients in an affiliated company would be used to fund payroll or to ...
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While the firm's compliance policy required advertising materials to be accurate, it did not adopt procedures for compliance personnel to verify the accuracy or completeness ...
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While the adviser trained investment professionals on the ESG Integration Policy, some in senior portfolio management positions were not aware of the ESG Integration Policy ...
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The firm's P&Ps called for its AML software to be calibration or tuned at least every one to three years. The system was only fully ...
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The Monitoring Agreement did not contain a provision authorizing AIM to accelerate future monitoring fees from the Portfolio Company for the entire contract period if ...

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