Investment Advisers

Has your CCO changed in the last year?
A process for checking billing during your annual review
Use this Excel spreadsheet to test the accuracy of your billing
A revised form would require the disclosure of the compensation paid to investment advisers
The final rule is designed to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts
Elad Roisman
To the extent any of these market participants are registered investment advisers under the SEC’s jurisdiction, I believe it is important that we identify any ...
The relationship summary must include the required items enumerated below
Look out for traps in nursing home contracts
IM encourages investment advisers and funds to contact the Division staff with any concerns about the potential effects of COVID-19 on their operations
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
Documents supporting RAUM figure found to be misleading
This exam letter asks many questions about private and registered funds
This letter came out of the SEC's San Francisco Regional Office
SCOTUS to rule on disgorgement, ESG/SRI trends and exams, proposed compliance due diligence
IAs and B-Ds would have to have “sufficient information to evaluate an Offeree’s financial circumstances and sophistication
Industry comments signal an organized campaign to deluge the SEC and steer the regulator away from going through with proscribed compliance due diligence steps
"The infrastructure fee is not, and has never been, charged for Fidelity’s services to any plan and is not paid by participants or plans"
The "nebulous nature of such principles allows great latitude to investment advisers”
ESG is hotter than ever, and regulators have noticed the trend
The changes bring the act in line with the RBIC Advisers Relief Act of 2018
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