investment advisers Tag

Retail investors are confused! They fundamentally cannot differentiate between a broker-dealer and an investment adviser. And that has the SEC…

We live in a world filled with dramatic change on a scale we’ve never seen before. The speed and magnitude…

Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough…

It’s only going to get harder to detect 21st century fraud with 20th century technologies. Embrace technology in your compliance program.

Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps

On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.

The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers…

The SEC has expanded its cybersecurity examinations to include testing of firms’ implementation of procedures and controls

The IAA has announced its public support of a bill that would provide relief from the “past specific recommendation” rule