The SEC's Investor Advocate believes 'strong oversight of advisers’ third-party service providers is necessary' but is 'sensitive' to its compliance costs
Six years of 'no-action' relief around soft dollars research quietly end
Grewal strongly cautioned that Enforcement has "zero tolerance for gamesmanship around the disclosure decision"
Here are our most popular stories on RCW for the month
You should consider an addendum to your advisory agreement or an entirely separate agreement that the client would sign authorizing you to pay their personal ...
The committee took a similar step 10 years ago but the Commission failed to take it up
The number of SEC-registered investment advisers climbed to an all-time record high in 2022--a 2.1% increase over the prior year
The CCO pleaded guilty earlier this year
Form ADV data and industry snapshot reveal that nearly 40% of advisers include performance information in their ads
If finalized, the safeguarding proposal would subject 5,000 additional advisers to custody requirements