Investment Advisers

Consulting firm shares tips for when regulators knock on your door

Issues with the advertisement of hypothetical performance yielded penatlies ranging from $50,000 t0 $175,000

Suggestions for successful succession planning, PFs run into custody enforcements, results of Reg BI exams and much more

A common mistake advisers make is 'they don’t think about the short-term succession plan.' Plans should be prepared to handle short-, medium- and long-term succession

“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023

A peer shares a DDQ for new products

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A peer shares a revised marketing P&P for the new SEC ad rule

"Market regulators—SROs and the Commission—already have benefitted from CAT in surveillance and enforcement work"

"Brokers are more sensitive to these costs than the plan participants because they have direct relationships with retail investors, but they, too, as I have ...