Investment Advisers

Best ex has sat atop the agency’s list of issues for a long time
Headshot of Rick Fleming
Fleming took the opportunity to repeat his thoughts about the Commission's actions in approving Regulation Best Interest and Form CRS
Springer concealed from prospective clients his prior disciplinary history with the SEC
Leissner received more than $43M in illicit payments for his role
Failure to adopt P&Ps connected to client objectives, restrictions
IM Director reviews year, looks ahead
New SEC rules, cybersecurity tips, custody and more in our last issue of 2019
The custody rule requires advisers to hire only auditors who are both PCAOB registered and subject to board inspection. But the PCAOB hasn’t yet adopted ...
The report states that firms must “accept the reality that cyber breaches are inevitable”
The proposal would keep the current financial tests for establishing who is an accredited investor but also would add new categories
On the same day an online shopping executive pleaded guilty to state fraud charges, the SEC moved to relieve him and his company of at ...
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...
These rules cover reconciling outstanding security-based swaps with applicable counterparties on a periodic basis
The SEC is enhancing the effectiveness and the efficiency of security-based swap rules in the cross-border context
This exam originated in the SEC's Boston Regional Office
Mistakes include failing to understand exactly what the adviser's buying
Use this tool to improve your oversight of your firm's advertising
Download the latest quarterly compliance calendar from RCW
Hester Peirce
How can we enlist the help of people outside of government in regulating the activities we are responsible for overseeing?

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