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29 Aug 2016, 4:00 am
Covered investment advice also includes recommendations as to the management of securities or other investment property, including, among other things, recommendations on investment policies or strategies, portfolio composition, selection of other persons to provide investment advice or investment management services, selection of investment account arrangements (e.g., brokerage versus advisory); or recommendations with… [read post]
26 Aug 2016, 1:43 pm
Plaintiffs made a series of additional allegations regarding Defendant’s lack of care in negotiation of advisory fees and the fund’s boards. [read post]
25 Aug 2016, 9:02 am
In addition, the amendments will facilitate streamlined registration and reporting for groups of private fund adviser entities operating a single advisory business. [read post]
25 Aug 2016, 9:02 am
The Securities and Exchange Commission today announced penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management firm about its flagship product.An SEC enforcement sweep of investment advisers found that the 13 firms accepted and negligently relied upon claims by F-Squared Investments that its AlphaSector strategy for investing in exchange-traded… [read post]
22 Aug 2016, 12:19 pm
Mishkin The CFPB has announced the appointment of new members to its Consumer Advisory Board, Community Bank Advisory Council, Credit Union Advisory Council, and Academic Research Council. [read post]
18 Aug 2016, 2:21 pm
The third prong may be met even if a donor doesn’t have advisory privileges codified in a written agreement so long as the donor has reasonable reason to expect to have advisory privileges with respect to distribution or investment of amounts held in the fund. [read post]
15 Aug 2016, 3:32 am
The same amount invested in the companies with the lowest-paid CEOs would have grown to $367. [read post]
3 Aug 2016, 7:42 am
Sources include: investment manager(s); mutual fund(s); exchange traded fund(s); third party data vendors and other outside sources. [read post]
1 Aug 2016, 9:42 pm
The Brain decision highlights the care that employee benefit plan sponsors, fiduciaries, advisors and service providers and their management must use when responding to allegations or other evidence of wrongdoing relating to an employee benefit plan or its administration, investigating and addressing alleged misconduct or other performance or disciplinary concerns involving parties whose report or involvement in investigations of ERISA or other misconduct could form the basis of a potential… [read post]
27 Jul 2016, 10:31 am
Please contact an Investment Funds and Investment Management Group attorney for assistance with issues pertaining to Form ADV disclosure and related matters. [read post]
22 Jul 2016, 1:36 pm
On July 14, 2016, the Securities and Exchange Commission announced the settlement of an enforcement action against RiverFront Investment Group (“RiverFront”), an investment advisory firm, for failing to properly prepare clients for transaction costs. [read post]
14 Jul 2016, 8:52 am
-based RiverFront Investment Group disclosed to investors in Forms ADV that client trades were typically executed through the sponsoring broker so the wrap fee would cover the transaction costs. [read post]
12 Jul 2016, 6:41 am
Securities and Exchange CommissionMatthew Furman, Executive Vice President and Group General Counsel, Willis GroupCraig Goettsch, Director of Investor Education and Consumer Outreach, Iowa Insurance DivisionWilliam Lee, Senior Vice-President and Chief Investment Officer, New York-PresbyterianHester Peirce, Senior Research Fellow, Mercatus Center at George Mason UniversitySusan Ferris Wyderko, President and CEO, Mutual Fund Directors ForumThe Investor Advisory… [read post]
1 Jul 2016, 1:49 pm
Stamer helps management manage. [read post]
1 Jul 2016, 12:23 pm
Stamer helps management manage. [read post]
27 Jun 2016, 7:00 am
Nevertheless, the Division did offer examples of certain provisions in the Investment Advisory Agreement of existing and popular robo-advisers that appear to impermissively disclaim the adviser’s fiduciary responsibilities to its client. [read post]
24 Jun 2016, 4:50 am
Investors groups could include anyone that buys securities on either a minority or majority basis. [read post]
23 Jun 2016, 10:21 am
Stamer helps management manage. [read post]
21 Jun 2016, 1:23 pm
Our clients include leading financial and professional services firms, private individuals, luxury goods brands, real estate and property companies.We deliver brand positioning, communication, capital investment networking, crisis and reputation management, litigation support and group bondholder actions. then you’ve got enough money to pay the woman you once loved a decent settlement. [read post]
16 Jun 2016, 2:48 pm
Cybersecurity at SEC-registered entities like Morgan Stanley has become a top priority for the SEC inspections group and enforcement division. [read post]
