Carl Ayers
In the last five years, 'the population of advisers has grown by over 2,300 and the assets managed by these entities has increased by approximately $30trn,' the report states.
An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations.
A proposed regulation governing outsourced services gives examples of what would be in the rule and what services would be outside the rule.
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
The SEC has released no new staff guidance for 16 months on its proposed changes to marketing rules for investment advisers, worrying CCOs in the market.
The intimidation against Neff, a former compliance officer, peaked two years ago, just days before she was due to hold a news conference in New York to talk about her allegations of fraud.
'I will take a dim view' of 'dilatory or obstructive tactics,' new Enforcement Division Director Gurbir Grewal warns.
Private equity fund advisers welcoming foreign investors who can potentially exercise certain control in buyout deals involving portfolio companies may well spur a filing.
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