by Ara Jabrayan | May 15, 2023 | 12b-1 Fees, Account Recommendations, Best Execution, Chief Compliance Officer, Client Relationship Summary, Code of Ethics, DOL Fiduciary Rule, Duty of Care, ERISA, Fiduciary Duty, Investment Adviser Code of Ethics, Investment Adviser Representative, Investment Advisers Act, policies and procedures, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), Retail Investors, RIA Compliance, Risk, Robo-Advisers, SEC Investment Adviser Compliance, SEC Staff Bulletin, Standards of Conduct, State Investment Adviser Compliance, Suitability
On April 20, 2023, the SEC published a staff bulletin in a question-and-answer format to reinforce the standards of conduct owed by broker-dealers and Registered Investment Advisers (RIAs) when they are giving investment advice and making recommendations to retail... by Ara Jabrayan | Apr 6, 2023 | Advertising, Best Execution, Books and Records, Chief Compliance Officer, Client Relationship Summary, Code of Ethics, compliance deficiencies, Conflicts of Interest, Duty of Care, Examination Priorities, Fiduciary Duty, Form U4, Investment Adviser Code of Ethics, Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), policies and procedures, Press Releases, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Investment Adviser Compliance, Social Media, Social Media White Paper, Solicitation, Standards of Conduct, State Investment Adviser Compliance
On March 27, 2023, the SEC’s Division of Examinations (Division) published a Risk Alert that will be of great interest to newly-registered investment advisers. The observations will also be invaluable to investment advisers that have been in business for some years.... by Ara Jabrayan | Oct 19, 2022 | Conflicts of Interest, Fiduciary Duty, Investment Advisers Act, policies and procedures, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC Staff Bulletin
On August 3, 2022, the SEC published a Staff Bulletin, which discussed investment advisers’ and broker-dealers’ conflicts of interest. The Staff Bulletin offered guidance on how firms can identify, eliminate, mitigate, and disclose those conflicts of interest. The...
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