Investment Adviser News & Guidance
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...
Now that you’ve been put on notice by OCIE that examiners will scrutinize how you monitor employees with a disciplinary past, it’s smarter than ever to take steps even before extending the job offer (IA Watch, Sept. 15, 2016). Many IAs tells us they wouldn’t hire a person with a disciplinary past....
Murphy’s law was on full display again. An adviser in Jacksonville, Fla., revved up its generator hours before the full brunt of Hurricane Matthew was expected to lash the area earlier this month. Powered by hundreds of gallons of diesel fuel, the generator came with the expectation to supply elec...
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).