Form ADV

The SEC made no bones about what it would do with the answers to the new questions: “Our staff will use this information to help ...

If the disclosure requirement strikes you that advisers could lose clients who fear their adviser’s cyber defenses don’t measure up, know the SEC recognizes this ...

Language purporting to limit an adviser’s liability in an advisory agreement is also called a 'hedge clause.' Whether a particular hedge clause is misleading is ...

The defendants improperly registered Bóveda with the Commission as an Internet IA

Outsourcing rare but multiple roles, funds abound

"We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

It’s not the sort of correspondence you want to find coming from your regulator. A source has shared with RCW an e-mail from the SEC’s ...

“We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

The SEC also points the finger at the CCO for filing and signing years’ worth of Form ADV brochures that allegedly contained “false and misleading ...

The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client