The SEC has fined a registered investment adviser that provides global securities pricing and evaluations to its advisory clients through subscription options for failing to adopt and implement written policies and procedures...
To no one’s surprise, the topics of advisory fees, billing practices, and valuation continue to be at the forefront of Securities and Exchange Commission (“SEC”) exams this year. It’s no...
You are now leaving Investment Adviser Association
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
