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The SEC examined approximately 2,180 RIAs in 2019.January 16
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The advisor was charged with overbilling clients by hundreds of thousand of dollars and diverting millions from the company’s payroll to his own account.January 7
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“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.December 20
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Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.December 19
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"I don't mean to ruin your holidays, but ... " Regulators and industry insiders caution against delaying compliance efforts as the June deadline approaches.December 18
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One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.December 16
Managing PrincipalCipperman Compliance Services
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The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.December 16
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Brokerage firms that sell the funds must determine whether clients understand their risks — a requirement that could discourage offering them at all.December 6
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What advisors need to know about revenue sharing, wrap fees and outside investors in the wake of Reg BI.November 20
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SEC Commissioner Robert Jackson Jr. said his office studied 15 years of data to assess how the firms utilized their power on hundreds of proposals.November 19
