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SEC Pay-to-Play Rule - Investment Company Institute


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 Rule.

Report of the Mutual Fund Task on Mutual Fund Distribution - finra


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 to.

Registered Investment Adviser Annual Reviews; Calendar of Certain ...


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.

In The News - See Client Ratings of and search for Investment ...

millionairecorner.com/BrowseByQuery.aspx?Page=In the News

Millionaire Corner provides Client's Ratings of their Investment Advisor; Investors may ... Will New SEC Guidance Force Advisers to Listen to their Customer?

Disclosure effectiveness: What companies can do now - Ernst & Young


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 ( EDTF).

It is Time for Investment Advisers to Join the Conversation About ...


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.

The WSGR Data Advisor - July 2015


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 ...

SEC commissioner: DOL fiduciary rule would create 'a mess'


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, ...

In Case You Missed It - Interesting Items for Corporate Counsel ...


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 ...

2014-15 Compliance Developments & Calendar for Private Fund ...


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.

Helpful Resources

SEC Staff Study on Investment Advisers and Broker-Dealers


Jan 11, 2011 ... Retail investors seek guidance from broker-dealers and investment advisers to ... The Commission established a cross-Divisional staff task force (the “Staff”) to ... their clients, and the regulation under the Advisers Act generally is ...... of research, reports, news, quotes, and charts that customers can obtain or.

SEC.gov | Testimony on “Examining the SEC's Agenda, Operations ...


Mar 24, 2015 ... The Commission finalized over a dozen rules that will reduce conflicts ... of its implementation of Title VII of the Dodd-Frank Act, adopting new rules for ... of key rules and guidance on cross-border security-based swap activities for ... the first action enforcing the “pay to play” rule for investment advisers, the ...

SEC Speech: Remarks before the Managed Funds Association ...


Feb 11, 2005 ... But the new rule has been adopted, and I agree with the MFA that it is time ... Nor does adviser registration result in public disclosure of a hedge fund ... Regulation under the Investment Advisers Act has not stunted their .... in place and, in many cases, have established ethical guidelines for your employees.

Regulation of Investment Advisers by the U.S. Securities ... - Stroock


Oct 7, 2015 ... State Law Still Applicable to SEC-Registered Advisers . ...... These letters are informal staff advice and do not have the force of law. ... or otherwise lets it be known that he will accept new advisory clients,11 or hires a .... the fact that many investment advisers “advise” their customers by exercising control ...

Final Rule: Political Contributions by Certain Investment Advisers


The new rule also prohibits an adviser from providing or agreeing to ... address “ pay to play” practices by investment advisers. ..... shareholder force, and the example of CalPERS and its activities have ... economy as a whole” as a low rate of return will require additional funding from the ... SEC, 61 F.3d 938, 945 (D.C. Cir.