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 | Best Execution, Books and Records, Chief Compliance Officer, Compliance Violations, Crypto-Assets, Cyberattack, Cybersecurity, Deficiencies, Division of Enforcement, Division of Examinations, Duty of Care, Emerging Technologies, Environmental, Examination Priorities, Fiduciary Duty, Form ADV, Investment Adviser Code of Ethics, Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), policies and procedures, Press Releases, Private Funds, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC NEWS, SEC Rules, SEC Staff Bulletin, Social and Governance (ESG), Standards of Conduct
On February 7, 2023, the SEC’s Division of Examinations announced its 2023 examination priorities. These examination priorities are published annually to provide insights into the SEC’s risk-based approach. The publication also identifies areas that present potential...
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...
Recent Comments