NEWS & GUIDANCE
Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among the issues detailed in OCIE Director Andrew Bowden’s keynote address before IA Watch’s Commitment to Compliance conference last week. ...
It can bewilder compliance officers to ensure their firm complies with multiple rules. Extrapolate that challenge ten-fold should the many rules come from more than one regulator. Take the adviser that happens to be registered as a commodity trading adviser (CTA) with the CFTC. When it comes to me...
The first-ever charges against a broker-dealer for failing to protect a customer’s material nonpublic information will result in a $5 million penalty for Wells Fargo Advisors ($334B in AUM) in St. Louis. The dually-registered broker-dealer and investment adviser—the third largest brokerage firm in t...
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Speeches from key industry regulators
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