This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers
“They hacked our Wi-Fi in 8 seconds”
Overseas moves evoke challenges. Will the custodian reject the new address?
Check your firm’s CRM because staff will type in notes documenting their client conversations
RCW gets some of your IA ad rule questions answered
The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants
Many advisers maintain a log to track items such as gifts and entertainment and political contributions. You may wish to add a new section to ...
“If you’re going to market in the U.S., you have to” show performance. “If you want to play the game, this is the way the ...
Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures ...
The Commission also noted that the lack of preserved records may have hampered their investigations