Investment Advisers

Stewart tipped his father, Robert Stewart, for his own personal benefit, in violation of his duties to his employers, generating $1.1 million in illicit proceeds
Examiners wanted to see some review of an IA account after 12 months of inactivity
Hester Peirce
"It is a laudable thing for a businessman to work ceaselessly to make his company or bank successful"
Take some ideas from one of your peer's gifts and entertainment policies
A peer shares the firm's policies and procedures for maintaining records
A divided Commission adjusts who is an accredited investor, the SEC's using web video in exams and enforcement, tips for selecting a compliance consultant and ...
Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...
A relationship with a compliance consultant paves a two-way street. Be sure to give any consultant you hire full information
RCW doesn’t endorse any of these firms and they didn’t pay to be on our list
A “party cannot circumvent the SEC judicial review statute” by challenging its constitutionality before an enforcement action plays out
The book’s sample fiduciary code of ethics is built around seven provisions
The hackers pierced the SEC EDGAR database and pocketed $270,000 in illegal insider trading profits before the day was over
Private funds raised more than $11 trillion of the $15.5 trillion sold in Regulation D markets during 2009 through 2019
"Adding clearly financially sophisticated persons to the pool of persons eligible to participate in these financings is a laudable and unassailable policy goal"
"it’s not that the accredited investor definition somehow causes fraud, it’s that it allows more investors to be exposed to the risks of fraud"
Hester Peirce
"Why shouldn’t mom and pop retail investors be allowed to invest in private offerings?  Why should I, as a regulator, decide what other Americans do ...
Elad Roisman
"I have long advocated that such a system is fundamentally unfair, unequal, and unjustified. As I have previously stated, wealth is a crude measure of ...
"Asset managers responsible for trillions in investments, issuers, lenders, credit rating agencies, analysts, index providers, stock exchanges—nearly all types of market participants—use ESG as a ...
The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...
Never use the same password for multiple sites when twinned with your e-mail address as a login “because the bad guys will just take your ...

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