Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But ...
Should you decide to “exclude disregarded private funds” under Instruction 7 of Form PF, you would not include the funds’ assets when reporting your regulatory ...
Two years ago, traders Todd Newman and Anthony Chiasson were charged with insider trading, allegations that eventually took down their firms – an investment adviser ...
As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector General is now ...
There’s been something of a push in the media to make limited partner agreements public, especially at public institutions. Sister publication peHUB laid out its ...
As the annual Form ADV amending season draws near, don’t forget that in addition to your clients and potential clients, you will have an equally ...
Private equity is benefitting from greater transparency but should consider further improving their disclosures, says SEC Commissioner Kara Stein. She pointed to the need for ...
The Teachers’ Retirement System of the State of Illinois and State Universities Retirement System of Illinois will not follow the Illinois State Board of Investment’s ...
The percentage of investment advisers examined by the SEC in the 2014 fiscal year that ended in September hit 10% of the RIA population for ...
OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Reports ...