by Ara Jabrayan | Mar 11, 2025 | Account Recommendations, Conflicts of Interest, Disclosure, fees, Fiduciary Duty, policies and procedures, Registered Investment Advisers (RIAs), RIA Compliance
On January 17, 2025, the SEC announced that it settled charges against a Registered Investment Adviser (RIA) for not disclosing the conflicts of interest created by the advisory firm’s incentive compensation payments to Investment Adviser Representatives (IARs). Those...
by Ara Jabrayan | Mar 6, 2025 | Code of Ethics, Conflicts of Interest, Disclosure, Fiduciary Duty, Fines, Investment Adviser Code of Ethics, Investment Adviser Representative, Liability, policies and procedures, Private Funds, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, SEC Rules, Securities Exchange Act
On January 14, 2025, three Investment Adviser Representatives (IARs) settled charges brought by the SEC for acting as unregistered brokers. “This case highlights yet another way the StraightPath Funds were marketed and reflects that being associated with a registered...
by Ara Jabrayan | Feb 13, 2025 | Advertising, Chief Compliance Officer, Compliance Violations, Conflicts of Interest, Deceit, Deficiencies, Disclosure, Division of Enforcement, Endorsement, Hypothetical Performance, Investment Adviser Representative, Marketing Rule, policies and procedures, Promoter, Social Media, Violations, Website
On November 1, 2024, the SEC settled charges against a Registered Investment Adviser (RIA) in New York City. The RIA distributed advertisements using its public website, social media and email that contained endorsements from several professional athletes. Those...
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