The most embarrassing evidence examiners uncovered was firms that prohibited such trades yet were unaware that “these trades had occurred.” The risk alert encourages best ...
Nearly two-thirds of the examined advisers received staff-issued deficiency letters, which addressed the staff’s observations regarding a variety of topics. However, the vast majority of ...
A Kansas private fund adviser thought it could save its clients a few bucks but it didn’t properly disclose or manage its cross-trading policies, and ...