To help achieve consistency, invite practitioners, compliance and the investment team to jointly weigh 'in on these policies so that they actually reflect what you ...
Several of the new comments noted the array of cyber-related proposals and urged coordination or consolidation
Could the days of SEC ALJs be numbered?
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Advisers take various positions when it comes to making charitable contributions—either as a firm or by an access person
The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why
The CCO requests the documents annually but reserves an even more sophisticated review every three years. It pays a cybersecurity firm to conduct detailed due ...
Three in four PF advisers stated they do show performance results in their ads--compared with only 40% among all advisers
The SEC’s ambitious proposed revision of the custody rule attracted more than 150 comments, with many in the industry warning any final rule would be ...
'Pervasive and longstanding use of off-channel communications' costs two broker-dealers over $70M as recordkeeping initiative continues