One CCO tried to end a monthly compliance subscription service and ended up receiving dunning letters. Another took time to build a solid relationship with ...
RIAs are under no obligations under the Advisers Act to return a client's forms for these legal actions
In another sign of just how serious regulators are about pay-to-play violations, the New York State attorney general has barred a law firm from "appearing ...
Some advisers have wondered if the SEC would release any additional guidance to help firms produce their narrative Form ADV, Part 2 brochures beyond this ...
The requirement in 2011 for plain-English brochures represents a first, which begs the question must firms include a summary of material changes in a document ...
They're back - if they've ever gone away. IA Watch has told you about limited scope exams by the SEC (IA Watch, Feb. 9, 2009). ...
FINRA's move toward permanently allowing investors to select all-public arbitration panels will, in the view of one lawyer who represents firms, result in panels more ...
Much talk followed the financial meltdown of the need for international regulators to agree on a set of rules. Some RIAs with offices tucked into ...
The SEC's Inspector General David Kotz in a new report finds no "concrete and tangible evidence" to indicate the agency timed last April's news of ...
Some family offices will be able to avoid SEC registration but not if they hold themselves out publicly as an investment adviser, according to a ...