HSBC Securities provided false and misleading disclosures to clients about its IARs’ conflicts because it stated that IARs did not receive compensation based on advisory ...
It is not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved its content.
The final rule is designed to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts
The relationship summary must include the required items enumerated below
IM encourages investment advisers and funds to contact the Division staff with any concerns about the potential effects of COVID-19 on their operations
Hafen defrauded his clients, convincing them he could put them in investments that would produce 6% annual returns but instead used their money for his ...
The SEC alleges Motty Mizrahi told investors his trading strategy was risk-free, clients would not lose money and they could withdraw their money at any ...
We are amending the definition of the term “assets under management” in the private fund adviser exemption to exclude the assets of RBICs
The revised ADV Brochure made no reference to the agreements or payments and did not explain the resulting conflicts of interest
"Certain aspects of the implementing regulations may have resulted in a complex and costly compliance regime that is unduly restrictive and burdensome"