Investment Adviser News & Guidance
IA Watch's latest YouTube video features ERISA attorney Marcia Wagner of the Wagner Law Group in Boston discussing the elements of a best interest contract. Click the box below to watch the 4:56 video: 10 Elements of a Best Interest Contract under the DOL Fiduciary Duty Rule. Tell IAWatch your rea...
Consider creating correspondence that fairly lays out the pros and cons of a retirement investor either keeping his money in his 401(k) plan or moving it to an IRA that your firm will manage. E-mail the correspondence to the investor before meeting with the person and archive your e-mails to memoria...
It’s hard to conceive how you could protect your data if you don’t know what data you have. So it’s been suggested that advisers consider developing a “data classification” policy. “Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats, s...
Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.
- John Steven Blount: SEC bars fraudster who took elderly and other clients; Ponzi schemer pulls 20 years in prison
- Dennis Navarra: No fine in settlement with fired IA CFO over misleading PPMs
- Concert Global Group Limited, Concert Wealth Management and Felipe Luna: $120,000 fine for lacking compliance P&Ps and failing to disclose conflicts
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Speeches from key industry regulators
- SEC Chair Mary Jo White gives the SEC Advisory Committee on Small and Emerging Companies an update on crowdfunding
- SEC Chair Mary Jo White brings up mutual fund reporting proposal before the Investor Advisory Committee
- SEC Commissioner Michael Piwowar encourages the Investor Advisory Committee to address mutual fund reporting modernization
Full listing of live events and on‑demand webinars (for members).