Investment Advisers

The most embarrassing evidence examiners uncovered was firms that prohibited such trades yet were unaware that “these trades had occurred.” The risk alert encourages best ...
Examiners found deficiencies related to inadequate disclosures and compliance programs that failed to measure up. For instance, some advisers didn’t monitor “the trading activity in ...
Swiss authorities have sent a letter to the SEC clarifying that its policy calls for cooperation “with data protection authorities in Switzerland and abroad.” The ...
The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products
The price tag of the fees accruing to fund investors has been put at more than $220 million a year
Krista Zipfel, former CEO/president of Advisor Solutions Group in Newport Beach, Calif., shares her firm's advertising checklist.
Nearly two-thirds of the examined advisers received staff-issued deficiency letters, which addressed the staff’s observations regarding a variety of topics. However, the vast majority of ...
Advisers did not monitor the trading activity in clients’ accounts or their monitoring activities were ineffective
Archegos: "The limited transparency in this market, combined with potential shortcomings in market participants’ risk management .... I believe additional public disclosure of that fund’s ...
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