Columns
Expert Advice
Q&A with Cameron Rogers, partner at the $2.3 billion Angeles Wealth Management.
The SEC issued a Risk Alert on Dec. 16 outlining observations from examinations focused on advisers’ compliance with the Marketing Rule. These findings align with what we continue to see during examinations – the Marketing Rule remains a consistent area of regulatory focus.
ADV season comes around each year like clockwork, often bringing the same kinds of questions and potential headaches. Every Registered Investment Adviser (RIA) is required to file their Annual ADV amendment within 90 days of their fiscal year end.
How will you make yourself more compelling against much of your competition? This column from Bruce Frumerman posits three recommendations.
Every year, the National Society of Compliance Professionals hosts a two-and-a-half-day conference providing a wealth of educational and networking opportunities.
Observations for money management firms relating to the importance of marketing the beyond-the-numbers intellectual acumen of the portfolio manager when selling investment products to institutional investors has resurfaced in the form of a new survey report of that very group of investors and their investment consultants.
In 2024, the SEC adopted amendments to Regulation S-P. This is the rule that requires investment advisors to have written safeguards in place to protect client information and provide those clients with a written privacy notice.
Column By Meghan Sundquist, Compliance Associate, SEC Compliance Solutions LLC
By Bruce Frumerman, CEO, Frumerman & Nemeth Inc.
For smaller firms, the real challenge isn’t performance. It’s getting noticed. Allocators already have a long list of viable candidates. Why should they make room for one more?
The announcement of the finalists in our annual Emerging Manager Awards.