Fiduciary Duty: Best Practices for Fulfilling Suitability Obligations
In 1963, the Supreme Court held in SEC v. Capital Gains Research Bureau Inc. that the '40 Act imposes a fiduciary duty on investment advisors. What are you doing to maintain suitability standards with your clients?
Using Solicitors—Are You Compliant?
More and more SEC advisors are engaging solicitors to generate new business.
How to Pass an SEC Limited Scope Exam
If you can demonstrate how well you're handling risk in an SEC 'mini-exam,' you may be able to delay a full-blown exam for years.
Are You Fulfilling Your ‘Mandatory’ Training Requirement?
There is no specific regulatory requirement that says registered investment advisors must provide “mandatory” training to their employees.
Top 10 Compliance To-Do’s for 2012
2011 was a year full of changes for the investment advisory community.
The Large Trader Rule
Just when you thought there couldn’t be any more forms to complete, we have yet another one from our friends at the SEC—the new Form 13H.
Seven Easy Rules for a Safe Policies and Procedures Manual
Compliance doesn’t have to be hard, but some advisors insist on making it so. These seven tips, starting with reading your own documents, will make it easy.
The Long Arm of Dodd-Frank
The long reach of Dodd-Frank is about to extend to private investment funds.
SEC Adopts Family Office Rule
Tom Giachetti interviews Stark & Stark colleague Matt Jacobs on the key provisions of the SEC's family office rule and what it means for wealth managers.
Dodd-Frank’s New Rules for Mid-Sized Advisors
When the Dodd-Frank Act was passed on July 21, 2010, the intent was to create a foundation for financial regulatory reform.