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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 ...
The number of individual investors working with advisers has grown nearly 40% over the past two years
In its first “formal communication” with new SEC Chairman Gary Gensler, the Investment Adviser Association lays out a regulatory agenda that ranges widely from calling ...
This is NASAA's checklist to help IAs with cybersecurity
While the Investment Adviser Association in Washington, D.C., supports “the goals of their CE requirements,” NASAA’s claims that IARs suffer from an educational gap “is ...
The association asserts that "NO personal information has been compromised”
Investment advisers have widely panned the Trump Administration’s efforts to rein in sustainable investments. Under rules proposed by Department of Labor officials June 30, pension ...
A slew of circumstances can bring on diminished capacity. The report speaks of accidents and injuries, drug abuse and medications. But aging tops the list
The Trump Administration’s proposed overhaul of the Volcker Rule should go even further by making clear that it may take more than three years to ...
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
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