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Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

DVU fined by SEC for failure to make full and fair disclosures
 
Charging Performance Fees While Remaining Compliant For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating... [...] Read more
New Smart Review(SM) Enhancement Leverages Predictive Intelligence to Save Time and Reduce Risk. Compliance professionals have a tough job – trying to balance organizational risk while supporting sales and marketing growth efforts. In order to best serve the needs of the business, and... [...] Read more
Form CRS is Due June 30 For those of us who are working remotely, it can be challenging to remember which day of the week it is – there’s not a lot of differentiation between workdays... [...] Read more
Do Communication Requirements Change During a Global Crisis? Physical and financial health are both top of mind in a crisis situation like the pandemic the world is currently facing. While flattening the curve and limiting the spread of... [...] Read more
Supporting Clients and Defending Against Cybersecurity Threats During COVID-19 Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job and economic instability, the atmosphere is ripe for cybercriminals to take advantage of unsuspecting individuals.... [...] Read more
New SEC Guidance for Broker-Dealers New SEC Guidance Makes it Easier for Broker-Dealers to Offer Cash Sweep Programs Cash sweep accounts can provide broker-dealers a convenient way to support their clients and ensure they’re wisely... [...] Read more