Later this month, the SEC’s Investor Advisory Committee is scheduled to take up draft recommendations designed to ensure that more investment advisers are examined
RCW has obtained recent SEC exam document request letters. Here’s a sampling of what some of the letters sought on advisers and their so-called value ...
Some people deserve special attention. Members of one group worthy of yours are “value added investors”
To help achieve consistency, invite practitioners, compliance and the investment team to jointly weigh 'in on these policies so that they actually reflect what you ...
Several of the new comments noted the array of cyber-related proposals and urged coordination or consolidation
Could the days of SEC ALJs be numbered?
Participating in a global economy carries a lot more responsibilities now, especially given the explosion of U.S. government sanctions
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Advisers take various positions when it comes to making charitable contributions—either as a firm or by an access person
The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why