Investment Advisers

Fiduciary duty missteps can be seen in advisers that fail to do any analysis to determine if certain investments are in a client’s best interest ...
We could see “herding, interconnectedness, and concentration” that could “lead to system-wide issues,” warned Gensler. He cited the “herding” seen in “subprime mortgages before the ...
This tool can help you test compliance with cross trade rules
An increase in SEC exams, SEC enforcement priorities, a new sweep exam and much more
"I have a message I want digital asset market participants to hear:  to move these markets forward there must be a meaningful exchange of ideas ...
Sideletter
"Today, I want to focus my remarks on one aspect of this great responsibility: preserving and expanding opportunities for businesses in our economy to raise ...
"I will conclude by suggesting that it is not too late for government regulators to set clear rules that respect the unique attributes and challenges ...
Dem Commissioner endorses redefinition of "shareholder of record"
"I believe existing regulations are likely to fall short when it comes to the broad adoption of new forms of predictive digital analytics in finance"
Examiners may want to see additional procedures to be comfortable that the firm could adequately conduct its reviews given this situation
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