It didn't take lawmakers long to try to amend the new financial regulatory reform law. A group of four senators - Democrats and Republicans - ...
Last week we answered whether having a letter of authorization constitutes custody (IA Watch, Aug. 2, 2010). Keith Marks, a partner at Ascendant Compliance Management ...
One letter permits an investment company to offer investors more options to purchase precious minerals through an investment adviser owned by the fund board. The ...
Here's the scenario, raised by a peer: The adviser prepares an RFP to seek new business. A subadviser wants to augment the RFP with an ...
Client complaints are more likely in a shaky market, although they can arise at any time. Some firms experience few, if any, while others attract ...
You may not engage in public pension business now, but it may be a smart decision for your firm to comply with recordkeeping rules in ...
A compliance officer in Pennsylvania summarizes the conundrum - ah, let's make that, problem - with the SEC's demand that advisers create a plain-English Form ...
Now that the clock ticks toward a deadline to comply with the SEC's Form ADV revisions, the words of a CCO in Baltimore may sound ...
You may be asking this same question if a client or trustee has granted your firm permission through an LOA to dip into his account ...
The SEC has released “immediate guidance” designed to help mutual funds, ETFs and other investment companies be clearer in their disclosures about use of derivatives. ...