Tag: From the General Counsel
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a wide range of unanticipated operational changes.
September 22, 2020
Tags: Columns, Disclosure, E-Delivery, From the General Counsel, Gail Bernstein
New Case Shows Revenue Sharing a Top SEC Target
A recent SEC complaint serves as yet another reminder to investment advisers about their obligations regarding the receipt and disclosure of revenue from third parties.
September 01, 2019
Tags: Columns, From the General Counsel, Gail Bernstein, Share Class Disclosure
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