Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P permitting the use ...
Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P prohibiting the use ...
Firms could 'neutralize' a tool’s bias in favor of the adviser by 'rendering the consideration of the firm-favorable information subordinate to investors’ interests, and thus ...
The Commission’s action would create two new rules—one for B-Ds and a second for advisers—plus revise each regime’s respective books and records rules to mandate ...