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Adviser Update: Will FINRA and the SEC Be the New Dynamic Duo? thumbnail

Adviser Update: Will FINRA and the SEC Be the New Dynamic Duo?

Advisers can expect the relationship between the Securities and Exchange Commission and Financial Industry Regulatory Authority to get a little cozier, according to Richard Ketchum, chairman and...

FINRA: Merrill Lynch Adviser Cannot Solicit Former Clients for One Year thumbnail

FINRA: Merrill Lynch Adviser Cannot Solicit Former Clients for One Year

Advisers should be aware that changing firms could lead to legal headaches, particularly if you don’t plan ahead. In a recent case, the Financial Industry Regulatory Authority...

Newly Registered Advisers: What You Need to Know About Advertising thumbnail

Newly Registered Advisers: What You Need to Know About Advertising

Many advisers to private funds will be registering with the Securities and Exchange Commission this year. That means they will be subject to all of the SEC...

SEC to Hold Adviser Compliance Seminar Tomorrow

The Securities and Exchange Commission will hold a national seminar to help chief compliance officers (CCOs) and other senior personnel at investment management firms enhance their investment...

SEC: Social Media Poses Risks for Registered Investment Advisers thumbnail

SEC: Social Media Poses Risks for Registered Investment Advisers

Everyone is using social media these days, including registered investment advisers. Social media allows advisers to communicate with existing and potential clients, promote services, educate investors, and...

Investment Advisers: Best Practices for the Year Ahead thumbnail

Investment Advisers: Best Practices for the Year Ahead

As we enter a new year, many of us are making plans to grow and strengthen our businesses. For investment advisers, that should mean incorporating compliance best...

SEC Claims Investment Adviser Exaggerated AUM to Attract Clients thumbnail

SEC Claims Investment Adviser Exaggerated AUM to Attract Clients

In previous posts, we have discussed that the Securities and Exchange Commission has stepped up enforcement of registered investment advisers, particularly when it comes to their Form...

Client Alert: Final Renewal Statements Now Online

As of January 3, 2012, online Final Renewal Statements for investment adviser (IA) firms are available in IARD/Web CRD. These statements will reflect the final registration statuses...

New Year’s Resolutions for Registered Advisers: Update Your Compliance Manual thumbnail

New Year’s Resolutions for Registered Advisers: Update Your Compliance Manual

The Securities and Exchange Commission will be ramping up its enforcement activities in 2012, especially when it comes to registered investment advisers. As we noted in several...

Heightened Examination Will Come at a Higher Cost for Investment Advisers thumbnail

Heightened Examination Will Come at a Higher Cost for Investment Advisers

As we mentioned in our last post, increased adviser oversight is likely on the horizon. While we will still don’t know what form it will take, a...

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