Conflicts of Interest

The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was ...

This is a speech that the SEC's Julie Riewe, co-chief of the Enforcement Division's Asset Management Unit, gave at an IA Watch conference in Washington, ...

Months may pass before you get a look at the Department of Labor’s revised proposal to redefine a fiduciary under ERISA but the battleground is ...

Cooper has also admitted that he and Total Wealth have used investor monies to pay unspecified legal expenses related to the Division of Enforcement's previously-instituted ...

With signs that the Department of Labor moves ever closer to proposing a new fiduciary standard under ERISA, the Institute for the Fiduciary Standard Jan. ...

Boost your firm’s exam prep by getting “ahead of the concerns raised in” FINRA’s 2015 exam priorities letter, which was released Jan. 6. It cautions ...

FINRA has sent a strong message that it’s committed to enforcing its research analyst conflict of interest rules. The SRO has fined 10 firms for ...

Red flags are to be avoided at all costs when it comes to your firm’s Form ADV since the SEC will unquestionably be scrutinizing this ...

As the annual Form ADV amending season draws near, don’t forget that in addition to your clients and potential clients, you will have an equally ...

Private equity is benefitting from greater transparency but should consider further improving their disclosures, says SEC Commissioner Kara Stein. She pointed to the need for ...