The United States Court of Appeals for the Fifth Circuit has vacated the Securities and […]
What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]
Last week the SEC announced that it had settled charges against five more registered investment […]
What: The SEC announced that it settled charges against two investment advisers for making false […]
What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]
The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]
Recent SEC enforcement actions have increased focus on how well advisers and boards of registered and unregistered investment companies provide compliance oversight. Download the Investment Adviser Bulletin and stay up to date with the regulatory landscape. This month Valerie Lewis examines four examples that touch on best execution practices and disclosures, valuation of securities, and oversight of sub-advisers.
