In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...
The Commission’s new regulatory agenda lists several upcoming new IA and B-D rules—all of which the agenda states are due to be finalized in April
FinCEN wouldn’t mandate that an RIA’s CCO oversee its AML program. However, it does point out that “the presence of a compliance officer may reduce ...
After the SEC proposed new rules in 2022 designed to force more entities to register as dealers, the Commission received many comments asking that investment ...
It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...
If your firm manages a donor advised fund, hurry. You have until Thursday to comment to the IRS about a new proposal that could tax ...
“I think Oppenheimer had an opportunity to prevent all of this from happening,” an investor says
Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...
Annually quiz staff on where they’re getting gifts from, and use the occasion to remind them they do need to report them to compliance
Heed these lessons: If a client questions you on returns, do the math. Be straight with them. And backup your data