Investment Advisers

The analyst replied to Compliance Officer’s initial email, stating that he did not see anything that would require SARC to take immediate action, such as ...
Prepare for DOE exams around the new IA ad rule, failing to protect client information proves costly, a primer to get started on ESG and ...
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads
The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...
Eversheds-Sutherland gives RCW permission to share with you its checklist to aid compliance with the SEC's new IA ad rule
A CCO at an ESG firm has an obligation to become educated on the topic
A peer shares the firm's contract it uses with solicitors
Morgan Stanley charged with falling "woefully short" in the firm's PII protection efforts
"The panel discussions regarding labor-related performance data and ESG fund disclosures touch on one part of the federal securities laws: the disclosure of information and ...
"I also appreciate the IAC’s attention to other critical investor protection issues, such as funds’ ESG disclosures and improved financial accounting and reporting standards"

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