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What Is the Biggest Compliance Concern for Registered Investment Advisers? thumbnail

What Is the Biggest Compliance Concern for Registered Investment Advisers?

If you guessed social media, you are correct! A recent survey conducted by the Investment Adviser Association, ACA Compliance Group, and Old Mutual Asset Management found social...

New Jersey Hedge Fund Facing Serious Charges thumbnail

New Jersey Hedge Fund Facing Serious Charges

Recent fraud charges against a New Jersey hedge fund are making the industry look bad.  Prosecutors allege that investment firm Osiris Fund L.P. bilked over 75 investors...

Municipal Adviser Legislation Advancing in Congress thumbnail

Municipal Adviser Legislation Advancing in Congress

While the SRO bill is stalled, another piece of legislation impacting registered investment advisers is advancing. A bill to increase oversight over municipal advisers moved forward in...

Bachus Op-Ed Reignites SRO Debate thumbnail

Bachus Op-Ed Reignites SRO Debate

Just when advisers thought Sen. Bachus had backed off his SRO bill, Jack’s back out of the box.  The House Financial Services Committee Chairman recently wrote an...

Are Tougher SEC Penalties on the Horizon? thumbnail

Are Tougher SEC Penalties on the Horizon?

Two U.S. senators are proposing a bill that would authorize the SEC to hand down tough new penalties against registered investment professionals and their firms. The Stronger...

FINRA’s New Suitability Rules Are Confusing for Brokers thumbnail

FINRA’s New Suitability Rules Are Confusing for Brokers

FINRA’s new suitability rule took effect earlier this month. Per our prior post, the rule imposes broader obligations to oversee customer accounts and investment strategies. At least...

New Hedge Fund Advertising Rules Due This Summer thumbnail

New Hedge Fund Advertising Rules Due This Summer

The Securities and Exchange Commission (SEC) did not meet the July 4 deadline for proposing new advertising rules for hedge funds and private equity funds when soliciting...

What Can Investment Professionals Learn From the Titanic? thumbnail

What Can Investment Professionals Learn From the Titanic?

In recent remarks at the Insured Retirement Institute Government, Legal and Regulatory Conference, FINRA’s head of Regulatory Policy, Thomas M. Selman, made a novel comparison between the...

What’s Next for Advisers Now Under State Oversight? thumbnail

What’s Next for Advisers Now Under State Oversight?

Now that approximately 2,500 investment advisers with less than $100 million of assets under management are transitioning to state oversight, the obvious question is what’s next? For...

Most Clients Trust Their Adviser More Than Their Doctor thumbnail

Most Clients Trust Their Adviser More Than Their Doctor

A new survey reveals that many Americans put great trust in their advisers, despite how they may be portrayed in the media. In fact, the John Hancock...

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