Create a one-page summary outlining the terms of a soft dollars’ arrangement, including confirmation that the deal fits within the 28(e) safe harbor and have ...
The Commission may have gotten tipped off by suspicions of Bell Rock’s trading by its unidentified custodian, which terminated its relationship with the adviser over ...
SEC settlement notes review of P&Ps tied to share class selection, revenue sharing, markups, best ex and more
The latest exam letter reveals a depth of inquiry so far unseen in past cyber reviews
Jacko recommends that you develop a compliance P&P specific to your firm’s use of social media that exists outside of your larger advertising P&Ps and ...
Determination to be made as to whether rules and P&Ps for arbitrator selection were complied with in Wells Fargo case
The sooner the parties have affirmed the trade information for their transaction, the lower the likelihood of a settlement fail because the parties will have ...
If the disclosure requirement strikes you that advisers could lose clients who fear their adviser’s cyber defenses don’t measure up, know the SEC recognizes this ...
Should the proposed changes become final, they would ensure that whistleblowers were “appropriately rewarded for their efforts and that our rules do not inadvertently create ...
Here are links to the six new PF proposed rules