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20 results on '"Investment advisers -- Practice -- Laws, regulations and rules"'

1. Lawsuit Challenges Private Fund Adviser Rules

Author

Sutton, Robert H.

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Investment advisers -- Practice -- Laws, regulations and rules, Securities law -- Interpretation and construction, Government regulation, Business, international, Investment Advisers Act of 1940
Abstract

On Friday, September 1, 2023, a lawsuit was filed with the federal Court of Appeals in the Fifth Circuit challenging the validity and enforceability of the recently adopted Private Fund [...]

Published
2023

2. SEC's Recent Rule Changes For Private Fund Advisers: What You Need To Know

Author

Patterson, Gregory

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Private equity funds -- Laws, regulations and rules, Investment advisers -- Practice -- Laws, regulations and rules, Government regulation, Business, international, Investment Advisers Act of 1940
Abstract

On August 23, 2023, the Securities and Exchange Commission (the 'SEC') enacted new rules and amendments (the 'Final Rules') under the Investment Advisers Act of 1940, as amended (the 'Advisers [...]

Published
2023

3. An Early Glimpse Into The SEC's Private Funds Advisor Rule

Author

Richman, Steven

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Investment advisers -- Practice -- Laws, regulations and rules, Government regulation, Business, international, Investment Advisers Act of 1940
Abstract

The Securities and Exchange Commission (SEC) has adopted the long awaited 'Private Fund Adviser Rule' (the 'PFA'). The proposed PFA was introduced on February 9, 2022 ('Proposed Rule'), and the [...]

Published
2023

4. Big money for advisers who switch firms turns clients into pawns

Author

Shufelt, Tim and O'Hara, Clare

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Counselor and client, Government regulation, General interest, News, opinion and commentary
Abstract

Byline: TIM SHUFELT, CLARE O'HARA If you, like millions of Canadians, work with an investment adviser, there's a good chance they will decide to switch firms at some point, leaving [...]

Published
2023

5. Private Equity Fund Manager Websites Are Burying The Information Investors Need

Author

Daines, Daniel

Subjects
Private equity funds -- Laws, regulations and rules, Investment advisers -- Practice -- Laws, regulations and rules, Web sites -- Planning -- Laws, regulations and rules, Government regulation, Company business planning, Company Web site/Web page, Business, international
Abstract

GPs often employ a disastrous strategy when it comes to planning a new website: first, they visit other private equity fund manager websites, for 'inspiration' (to copy them); and, secondly, [...]

Published
2023

6. Ontario approves new rules for financial planners, advisers; Qualifications, credentials will become mandatory for people who refer to themselves by either title

Author

O'Hara, Clare

Subjects
Financial planners -- Practice -- Laws, regulations and rules, Investment advisers -- Practice -- Laws, regulations and rules, Financial services industry -- Officials and employees -- Laws, regulations and rules, Government regulation, Financial services industry, General interest, News, opinion and commentary
Abstract

Byline: CLARE O'HARA; Staff Ontario's Finance Ministry has given the green light for a new set of rules governing employees in the financial services industry who use the titles 'financial [...]

Published
2022

7. SEC RIA Enforcement Action

Author

Berman, Bradley

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Investment advisers -- Practice -- Laws, regulations and rules, Government regulation, Business, international
Abstract

On May 17, 2022, the SEC charged a registered investment advisor ('RIA') and three former senior portfolio managers with fraud involving concealment of the downside risks of a complex options [...]

Published
2022

8. Rules shouldn't have prompted banks to halt fund sales: OSC

Author

O'Hara, Clare

Subjects
Ontario. Securities Commission -- Powers and duties, Investment advisers -- Practice -- Laws, regulations and rules, Banking industry -- Laws, regulations and rules, Investments -- Laws, regulations and rules -- Forecasts and trends -- Economic aspects, Government regulation, Market trend/market analysis, Banking industry, General interest, News, opinion and commentary
Abstract

Byline: CLARE O'HARA, Staff Lead Ontario's securities watchdog says new regulations that will soon require advisers to have deeper knowledge of the funds they recommend to clients should not have [...]

Published
2021

9. What client-focused reforms mean for Canadian investors; OPINION

Author

Tam, Ian

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Counselor and client, Investments -- Management, Government regulation, General interest, News, opinion and commentary, Canadian Securities Administrators -- Powers and duties
Abstract

Byline: IAN TAM Lead CFA, director of investment research for Morningstar Canada A gainst a backdrop of regulatory changes worldwide, our own Canadian Securities Administrators have set out to improve [...]

Published
2021

10. SEC's Division Of Examinations Publishes Risk Alert On Investment Adviser Principal And Cross Trading Practices

Author

Plaze, Robert E.

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Securities trading -- Laws, regulations and rules, Investment advisers -- Practice -- Laws, regulations and rules, Government regulation, Business, international
Abstract

On July 21, 2021, the Division of Examinations ('Exams') issued a risk alert on principal and cross trading practices by investment advisers (the 'Risk Alert').1 This Risk Alert supplements a [...]

Published
2021

11. OCIE Director Instructs Advisers To Empower Chief Compliance Officers

Subjects
United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations -- Officials and employees, Investment advisers -- Practice -- Laws, regulations and rules, Chief compliance officers -- Vocational guidance -- Laws, regulations and rules, Government regulation, Business, international, Investment Advisers Act of 1940
Abstract

On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination ('OCIE') of the Securities and Exchange Commission ('SEC'), gave a speech urging advisory firms to [...]

Published
2020

12. New Financial Investment Rules May Aid Robo Advisers

Author

Moyer, Liz

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Financial services -- Services -- Laws, regulations and rules, Investments -- Laws, regulations and rules, Government regulation, Financial services industry, General interest, News, opinion and commentary
Abstract

Washington's new rules for financial advisers may give so-called robo advisers a leg up in the battle for investor dollars. The new rules, announced on Wednesday, are expected to encourage [...]

Published
2016

13. Where have the goalposts gone?

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Pensions -- Laws, regulations and rules, Government regulation, Banking, finance and accounting industries, Business
Abstract

John Greenwood says size is essential in delivering low-cost pensions for the Nest market Opinion p49 A few weeks ago, when writing a column about Neil Liversidge and his 'open [...]

Published
2011

14. Rewriting history

Author

Lakey, Alan

Subjects
United Kingdom. Financial Services Authority -- Management, Investment advisers -- Practice -- Laws, regulations and rules, Government regulation, Company business management, Banking, finance and accounting industries, Business
Abstract

What a week. It started with uninten- tional humour from Hector Sants of the FSA who stated, without a twitch, smirk or blush, 'I have been a proponent of accountability [...]

Published
2011

15. FSA still faces a battle with Europe to ban commission

Author

Holt, Natalie

Subjects
United Kingdom. Financial Services Authority -- Management, Investment advisers -- Practice -- Laws, regulations and rules, Government regulation, Company business management, Banking, finance and accounting industries, Business, European Union. European Commission -- Management
Abstract

Byline: Natalie Holt Regulatory experts suggest the FSA still has a fight on its hands to ensure it can ban all advisers from receiving comm-ission despite hints from the European [...]

Published
2011

16. Due diligence warning if IFAs re-reg too often

Author

Macdonald, Sam

Subjects
United Kingdom. Financial Services Authority -- Management, Investment advisers -- Practice -- Laws, regulations and rules, Government regulation, Company business management, Banking, finance and accounting industries, Business
Abstract

Byline: Sam Macdonald IFAs who re-register client assets too often after the RDR could find their platform due diligence process under FSA scrutiny, according to Calastone. The fund re-registration firm [...]

Published
2011

17. Fact and faction

Subjects
United Kingdom. Financial Services Authority -- Management, Investment advisers -- Practice -- Laws, regulations and rules, Securities industry -- Officials and employees, Government regulation, Company business management, Banking, finance and accounting industries, Business
Abstract

David Norman, joint founder and chief executive of TCF Investment, says it is time to set aside differences and arguments to focus on the pressing need to deliver advice The [...]

Published
2011

18. Blazing a trail

Subjects
United Kingdom. His Majesty's Revenue and Customs -- Management, Capital gains tax -- Laws, regulations and rules, Investment advisers -- Practice -- Laws, regulations and rules, Pensions -- Management, Government regulation, Company business management, Banking, finance and accounting industries, Business
Abstract

Can customer-agreed adviser charges simply replace trail?Many advisers have been changing their business model over the last few years to one where long-term client relationships and ongoing advice replace a [...]

Published
2011

19. Pointing the way: two new professional designations signal a change in direction for insurers and advisers

Author

Gorski, Dennis

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Universities and colleges -- Laws, regulations and rules -- Officials and employees -- Service introduction -- United States, Counselor and client -- Management, Government regulation, Company business management, Business, Insurance, American College -- Officials and employees -- Service introduction -- Laws, regulations and rules
Abstract

Two new professional insurance designations introduced by The American College serve as signposts that point to the direction in which the industry is headed. The first, the Chartered Health Care [...]

Published
2011

20. Business groups target financial adviser rule: opponents see federal spending bill as vehicle to block 'fiduciary duty' mandate

Author

Schroeder, Peter

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Fiduciary duties -- Laws, regulations and rules -- Political aspects, Government spending policy -- Laws, regulations and rules -- Political aspects, Financial services -- Laws, regulations and rules, Government regulation, Financial services industry, Political science, Democratic Party (United States)
Abstract

* The financial industry is eyeing a must-pass government funding bill as a way to stymie administration efforts to impose contentious new rules on the sector. As lawmakers work to [...]

Published
2015

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