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The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...
The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client
In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...
This is an example of how one RIA advertises its performance. It includes a benchmark by which to compare the firm's results, along with necessary ...
Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...
Gensler has tough questions for 'stonks' industry
Narrative, structural complexities invariably hid higher fees, academics find
Krista Zipfel, former CEO/president of Advisor Solutions Group in Newport Beach, Calif., shares her firm's advertising checklist.
A peer shares the firm's form used by compliance to document necessary reviews of advertisements
Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)
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