-1.png)
uncategorized
2 minute read
On August 14, 2018, the SEC settled an enforcement action involving a Registered Investment Adviser...
3 minute read
As a compliance consultant, I have seen many versions of compliance policies and procedures for...
5 minute read
It’s summer time, sunscreen in your pocket while you’re vacation to a popular, sunny getaway…or a...
6 minute read
As you know, unlike MFIDII or other pan-European regulations, the General Data Protection...
1 minute read
Not to be confused with the blues song, “Long Tall Sally,” the SEC’s new research tool, SALI, can...
2 minute read
Although basketball is a team sport, one-on-one games are great exercise. Typically, players call...
2 minute read
On March 22, 2018, a final judgment was entered against an investment adviser who was the former...
2 minute read
This time of year, it is common practice for broker-dealers (“BDs”) to take a close look at their...
2 minute read
Just as investment advisers implement an asset allocation strategy to benefit their clients,...