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Only a small percentage of CCOs are compensated or employed by a firm different from the RIA they work at, according to new Form ADV ...
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...
The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...
Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between investment advisers and ...
Your firm approaches the magic $100 million in AUM mark that permits you to move from being state-registered to registering as an SEC RIA. What ...
One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low ...
These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commission rule concerning ...
These proceedings arise out of Respondent Financial Fiduciaries’ non-disclosure of financial conflicts of interest and violations of the “Custody Rule” of the Advisers Act. From ...
Among the plethora of changes you face in updating your new Form ADV, Part 1 you’ll find two items that zero in on your payment ...
If a material change occurs at your firm that triggers a prompt update of your Form ADV, be ready to encounter many more new questions ...
Click here to download a Word file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. This is an attestation form for reps ...
Fort Worth, Texas-based TPG Capital Advisors ($51B in AUM) had disclosed to its private equity investors that it could receive accelerated monitoring fees after ending ...
These violations were accompanied by compliance breakdowns—LKL did not conduct requisite annual reviews and failed to implement its policies requiring full disclosure of Love’s outside ...
In soliciting individual advisory clients to invest in mutual fund strategies managed by Atlas, Packerland recommended the purchase of a certain class of mutual fund ...
Sometimes change is good. Take the SEC’s decision to create Schedule R so that a lone adviser need complete only one Form ADV despite hosting ...
It’s the gift that keeps on giving: the challenge of mastering the SEC’s custody rule. The puzzle takes a new turn with Form ADV season ...
Catherine Hetrick was hoping the new Form ADV, Part 1 would permit her to notice file for New Mexico and be done with it. Not ...
Krueger favored his personal accounts over discretionary brokerage customer and advisory client accounts when he executed day trades or delayed allocation of trades until after ...
The complication of answering new Form ADV Item 5.D. (clients) just evaporated. Count your clients the “way you normally” do, according to a new SEC ...
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