The enforcement settlements have been so eye-popping, making it impossible for firms to ignore that staff may be using non-approved communications devices for work. So ...
Should you discover a client’s death by reading the local newspaper's obituaries, be sure to confirm that a client has actually died
Another component will look at whether the Division of Investment Management takes 'actions to ensure staff with sufficient and appropriate skills, experience, and expertise are ...
The Dow may have jumped more than 10% in 2023, but aggregate private equity and hedge fund AUM failed to keep pace
Given the alarm sounded by a new report from the Treasury Department about the risks that IAs pose to money laundering, you could be left ...
'It’s not just about the private funds rules. It’s about the whole rulebook,' Eversheds, Sutherland partner says
Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the ...
You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...
Amended Reg S-P would require the customer notice of a breach that would have to be “in writing,” either on paper or electronically
Nearly 80% don’t showcase specific investment advice. Advisers have not embraced sharing testimonials (92% don’t), endorsements (85% don’t) or third-party ratings (83% don’t)