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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 ...
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
The financial services industry and a watchful market determining how best to react
The report found “significant failures” caused primarily by “systemic, longstanding, governance-level weaknesses” that can’t be addressed “without commensurate governance reforms”
An open question is circulating among a group of advisers about whether firms that serve institutional clients – yet also feature wrap fee programs that ...
The number of registered investment advisers—and the amount of assets they manage—have both reached new records once again as reported in the annual Evolution Revolution ...
A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-all approach when ...
A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients to the ...
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s jurisdictions. That alarm bell sounded in NASAA’s Investment Adviser ...
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered IA population (IA Watch, ...
With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The ...
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new heights. NASAA’s annual ...
According to its newly-published IRS-990 form, the Investment Adviser Association’s revenues in 2017 grew 6.4% over the previous year. At the same time, its payroll ...
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previous year, ...
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to ...
Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and three years, ...
“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated series of enforcement actions by ...
The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report snapshot of the state-registered investment ...
This is NASAA's checklist to help IAs with cybersecurity.
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