On its public website and on various social media sites, GeaSphere included a promotional video called “The GeaSphere Difference” that made false and misleading statements
What's hot on current SEC exams, suggestions for extracted performance, a possible solution to the challenge of off-channel communications, and much more
A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...
You may not always agree with your regulator’s stance but you often have little choice but to heed it
Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...
The QPAM Exemption permits an investment fund holding assets of ERISA plans and IRAs that is managed by a ‘qualified professional asset manager’ (QPAM) to ...
"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"
This final rule modernizes the internet advisers' rules to account for the evolution in technology and the investment advisory industry since the initial adoption of ...
Gain ideas from this adviser's code of ethics
A source shares tips and suggestions for how to handle regulator and examiner interviews