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3 minute read
On October 26, 2017, Stephanie Avakian, Co-Director of the SEC’s Enforcement Division, gave a...
3 minute read
As a registered investment adviser, you are required to keep any and all records of client...
3 minute read
Did you know that you may have Custody?
3 minute read
My individual company 401(k) retirement plan participant prospecting began in the summer of 1999. I...
3 minute read
On February 26, 2015, in her keynote address at the IA Watch 17th Annual IA Compliance Conference,...
2 minute read
On May 11, 2017, FINRA took the next step in its ongoing initiative to strengthen controls on...
2 minute read
The SEC permits electronic delivery of reports and information such as the ADV and Privacy Notice....