NEWS & GUIDANCE
Confusion over the custody rule continues to reign more than five years after the SEC revised the rule. And even OCIE examiners don’t always agree on the rule’s application. IA Watch has learned that OCIE examiners at some regional offices are issuing deficiency letters to advisers that contend th...
For months, you’ve heard the dire warnings from many in the industry about the real world effects should the Department of Labor’s fiduciary duty proposal become reality (IA Watch, July 22, 2015). But too often, like the proposal itself, the predictions sound vague. IA Watch asked some observers f...
Hardly a week goes by now without the SEC bringing another enforcement action against a private fund adviser for issues tied to fees and expenses allocations (IA Watch, Nov. 12, 2015). The spate of cases has sent a crystal clear message: adopt compliance policies and procedures crystal clear on the ...
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