NEWS & GUIDANCE
IA Watch has obtained a copy of the SEC’s alternative mutual fund sweep letter. As we’ve reported (IA Watch, Aug. 25, 2014), it focuses on leverage and liquidity. But valuation and compliance monitoring are central themes of the sweep exam. The 9-page letter comes out of the SEC’s New York Region...
If you could wave a magic wand and make one change to improve the industry, what would it be? We posed that question to your peers and here’s what we heard. One favorable change would be to better distinguish investment advisers from other industry pros because IAs look out for “clients’ best inte...
David Trujillo owes his job to what a security guard spotted in the parking lot of his firm’s office. A competitor sat in a car pointing a high-definition microphone toward the adviser’s offices to eavesdrop on staff conversations. Besides covering the firm’s windows with a material that would pre...
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