"The following is a staff bulletin styled as questions and answers reiterating the standards of conduct for broker-dealers and investment advisers in identifying and addressing ...
In a split 3-2 vote, the SEC proposed amendments to Form PF to enhance the reporting requirements for all private fund filers and large hedge ...
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
One of the proposed changes would have advisers notify the DOL that they’re using the exemption, and perhaps mandating the reporting of their CRD number
The key avenue that a cyber bad guy could use to infiltrate your system via an MSP comes through its remote monitoring and management (RMM) ...
It’s possible the SEC could alert the DOL to violations of its exemption rules. When the DOL shows up, though, it’s usually too late, he ...
Would client entertainment—tickets to a sporting event or treating a client to dinner—be considered compensation? Advisers will have to tackle this question
Confusion grips the industry over whether cryptocurrencies are securities under the regulatory jurisdiction of the SEC or whether they more rightly fit within the CFTC’s ...
This guidance proves especially helpful because RCW has confirmed from multiple sources that the SEC won’t be issuing any more FAQs to help the industry ...