Investment Adviser News & Guidance
Investment advisers’ and broker-dealers’ compliance manuals, codes of ethics, employment agreements and severance agreements are being scrutinized by SEC examiners to determine whether they contain language that may be inconsistent with key whistleblower provisions enacted in the Dodd-Frank Act. In ...
When the president of Valentine Capital Asset Management ($367 in AUM) lost his ability to earn commissions from a managed futures fund, he simply created another fund from which he would be compensated. John Leo Valentine then recommended that his clients sell shares of the managed futures fund Bri...
In the most extreme case, the SEC’s giving the industry nearly three years to comply with parts of its three new mutual fund rules (IA Watch, Oct. 13, 2016). That’s some of the longest compliance periods ever allowed by the agency, says Bob Grohowski, general counsel of the Investment Adviser Asso...
Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.
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Speeches from key industry regulators
Full listing of live events and on‑demand webinars (for members).