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Only about 50 investment advisers and broker-dealers will be subjected to OCIE's cybersecurity sweep, but for those that are, you now have a clear idea of what examiners will request thanks to last week's new OCIE risk alert.That's because the risk alert contains a unique element: a sample, seven-pa ...
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There may be a slight trend of moving away from the use of soft dollars, but no one envisions the practice disappearing like the horse and buggy. An IA Watch analysis of Form ADV data shows about 45% of firms do pay for research via soft dollars.While soft dollars doesn't appear high on examiners' c ...
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One look at the latest Form ADV brochure from Total Wealth Management ($102M in AUM) in San Diego and you can see that the firm engages in "revenue sharing arrangements" when referring clients to other managers. The adviser readily admits this "creates an inherentconflict of interest .... because th ...
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