A source passes on several examples of death and arbitration clauses
Check out this example of an IA agreement
Several states have or hope to pass rules that target ESG investing, including one that proposes to make it a criminal offense to invest funds ...
Covered advice would include recommendations on investment strategies and advice on how rollover proceeds should be invested
Advisers settle AI 'washing' cases, what states' battles over ESG mean to you, more off-channel communications woes and much more
A final DOL fiduciary duty rule appears to be getting closer
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...
"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...