believes this new rule and its related recordkeeping requirements will help ...
Deliverable #2 – Appendix A is guidance for capturing records required by the
SEC's .... investment advisers and their transfer agents will attempt to follow the
.... ICI Transfer Agent Advisory Committee Task Force on the SEC Pay-to-Play
NASD staffs, to provide guidance to the SEC as it considers these issues. ... Task
Force reviewed the development of multiple class funds and their effect on ....
compensation, such as payments from a mutual fund adviser for “shelf space,” ...
The disclosure provided by the Profile Plus will give investors the tools they need
Feb 7, 2011 ... The SEC amended Form ADV (adopting new Part 2, consisting of ... The
Compliance Rule also requires a registered investment adviser to review its
policies and procedures ... Although the Compliance Rule does not enumerate
specific ... establishment of the customer relationship and annually thereafter.
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Millionaire Corner provides Client's Ratings of their Investment Advisor; Investors
may ... Will New SEC Guidance Force Advisers to Listen to their Customer?
make corporate disclosures more effective, companies can take ... users have
repeatedly said that disclosure documents contain ... external advisers ... The
FASB has proposed adding a new chapter to its conceptual .... nor the SEC
provides specific guidance clarifying how ...... Enhanced Disclosure Task Force (
Jan 4, 2012 ... Fraudsters like Anthony Fields “are quick to adapt to new technol- ... working and
microblogging) through which users create online ... percent of investment
advisers indicated a plan to increase their use of ... will also examine the SEC‟s
current guidance on investment ...... actually listen to their needs.
Whether it's collecting data about your customers to provide a more personalized
... As always, you can continue to email us at PrivacyAlerts@wsgr.com if there are
any topics you ... New EU Trends: Cybersecurity and Breach Notification ... SEC
cyber risk guidance to date, outside of advice specific to the financial services ...
Aug 4, 2015 ... (Bloomberg News) ... Even investment advisers, who adhere to a best-interests
standard ... with the DOL rule when providing financial guidance to clients in 401(
k) and ... Next week, the DOL will hold four days of hearings about the rule. ...
DOL rule because the SEC is not close to making its own proposal, ...
Nov 11, 2015 ... Possibly, more SEC guidance will be forthcoming. .... the exchanges to ask their
customers to do more than what is required by the SEC rules. ... which allows the
SEC to force a CEO and CFO to reimburse a public company for .... investment
advisers , here, including that investment companies publish new ...
May 6, 2014 ... Registered investment advisers are required to review their policies and ... small
violations, sweep examinations and limited new guidance assisting ... Both of
these types of violations can be identified by the SEC staff through its new .... Act (
FATCA) came into force on July 1, 2014, including withholding on.