Investment Advisers

"Please consider whether our proposed climate disclosure mandate would change fundamentally this agency’s role in the economy, and whether such a change would benefit investors. ...
"Victims of fraud, too often, are older adults: Some have retired, others have neared it, but all have spent decades preparing their nest eggs. Today, ...
A former RIA CCO faces up to 20 years in prison, be ready to pivot during an SEC exam, tips around ESG disclosures and much ...
The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...
It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...
'The rule proposal is not needed.' Principal 'traders are already subject to anti-fraud and anti-manipulation provisions of the Exchange Act'
A peer shares the firm's investment advisory contract for an institutional client
market
A peer passes on the firm's P&Ps for allocating fixed income trades
"I’ve asked staff to make recommendations for the Commission’s consideration around how we might update Rule 605 so that investors receive more useful disclosure about ...
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