Investment Advisers

"The rule’s invocation of the term 'material' is a red herring"
"Rules of such broad effect should be set by the full Commission, not by staff answering only to the Chairman"
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Check out what your peers found most valuable on our site last month
"I was surprised to learn when I came to the SEC that the Commission actually didn’t have its own best execution rule"
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Download the latest quarterly compliance calendar from Regulatory Compliance Watch
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March proved to be a tough month for the SEC in two federal courts. One judge accused the Commission of “gross misconduct” and, in a ...
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Here are some preventative measures you can take to help prevent similar issues at your firm
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With mergers and acquisitions continuing apace in the industry, know that CCOs can play a key role whenever an advisory ownership change occurs
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A new SEC final rule addresses internet advisers, a former CCO faces legal troubles, analysis of the current ESG environment and much more
The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs

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