Take heed of your existing privacy programs and extend them to employees and business contacts
Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers
Because violations can range from forgetting to get a personal trade pre-cleared to engaging in insider trading, “you have to have a range of punishments”
An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...
A “far more aggressive” SEC appears to be driving more defendants to litigate their enforcement actions rather than to settle
It’s rare for the Investment Adviser Association to encounter a year when its expenses topped its revenues but 2021 proved to be one, according to ...
Reps will be given a checklist for submitting a testimonial for approval. The form would indicate whether the testimonial came from an existing, a new ...
Some at the SEC promised more FAQs tied to the new IA ad rule but they never materialized before the rule took effect last November—until ...
It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?
It’s been more than a decade since the SEC adopted its pay-to-play rule, yet violations by advisers continue to imbue compliance lessons