Investment Advisers

Steps to take to prepare for the new ad rule, tips for resolving conflicts among joint account holders, more on the GameStop caper and much ...
Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va., shares AML red flags
It’s unclear how many firms in the EU would wish to register as SEC RIAs. Some have gotten around the problem by buying existing SEC ...
Options are aimed at improving MMFs resiliency and broader short-term funding markets
Objective reviews refer to looking at client objectives versus how the account was actually managed
This will empower senior officers to exercise the delegated authority of the Commission to authorize staff to subpoena documents and take sworn testimony
Munish Sood made eight payments totaling $24,500 to Agent2. In return, Agent2 referred several amateur basketball players (now NBA players) to PWM. Three of those ...
Compliance P&Ps tied to the ad rule “should include objective and testable means reasonably designed to prevent violations of the final rule in the advertisements ...
Principal, who also serves as CCO, required to take a minimum of 8 hours of compliance training over next 3 years
An adviser, who asked for anonymity, shares the firm's newly revised COVID P&Ps that take into account returning to work and the new vaccines

Copyright PEI Media

Not for publication, email or dissemination