The adviser's ad claimed a principal 'had been named one of the top wealth managers by the readers of San Diego Magazine for 14 consecutive ...
The firms placed an ad on its website containing two third-party ratings that did not clearly and prominently disclose the date on which the rating ...
The firm disseminated an ad claiming it 'serve[s] individuals and institutions independently, with no conflict of interest' without providing any context and after the firm ...
This comes courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.
Here's a policy that may give you ideas for improving your firm's OBA P&P
The adviser purported to rely on the audited financials alternative to comply with the custody rule but failed to timely deliver the audited financial statements ...
If you hire an auditor to examine your private funds, make sure the person does the job. If not, the SEC likely won’t come down ...
Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers
A federal judge in Washington, D.C., is due to make a decision in a case that could shed light on improper behavior within the SEC’s ...
Explaining what's behind new SEC rules for mutual fund advisers, reaction to FinCEN's new AML rules for advisers, a PF runs into troubles around expenses ...