Firms consider the use of hedge clauses in advisory agreements, which are commonly used contractual provisions limiting an adviser’s liability to its clients.
This article outlines the compliance challenges associated with off-channel communications and discusses key considerations for complying with recordkeeping, supervisory and other compliance obligations.
More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.
This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.
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