Browse Related Topics For:

Investment Adviser

774
SEC
277
Broker-Dealer
230
Enforcement Actions
220
Fiduciary Duty
167
DOL
158
Retirement Plan
155
ERISA
151
FINRA
151
Investment Advisers Act of 1940
140
Cybersecurity
125
Dodd-Frank
123
OCIE
116
Compliance
112
Conflicts of Interest
84
CFTC
81
Investment Funds
79
Financial Institutions
77
Disclosure Requirements
76
Best Interest Contract Exemptions
70
IRA
66
Investment Management
64
Hedge Funds
63
Reporting Requirements
62
Benefit Plan Sponsors
57
Mutual Funds
56
FinCEN
54
Insider Trading
54
Recordkeeping Requirements
53
Popular
52
Anti-Money Laundering
52
Form ADV
52
Pay-To-Play
51
Enforcement
50
EU
49
Final Rules
49
Private Equity Funds
48
Brokers
48
Proposed Regulation
48
Securities
48
Securities Fraud
47
401k
44
Financial Markets
42
Investment Company Act of 1940
42
Investors
41
Investment Companies
40
Chief Compliance Officers
40
Fraud
40
Private Equity
38
Private Funds
38
Securities Exchange Act
37
Derivatives
37
Fund Managers
35
Whistleblowers
34
Registration
33
Bank Secrecy Act
33
Fiduciary Rule
32
Banks
32
Risk Alert
31
Best Interest Standard
31
Custody Rule
31
Data Protection
31
Employee Benefits
30
Asset Management
30
Exemptions
29
Breach of Duty
28
Financial Sector
27
Sanctions
27
SCOTUS
27
SEC Examination Priorities
25
Banking Sector
25
BSA/AML
25
Data Breach
24
Board of Directors
24
Cyber Attacks
24
Industry Examinations
23
Disgorgement
23
European Securities and Markets Authority (ESMA)
23
Excessive Fees
23
Financial Conduct Authority (FCA)
23
Suspicious Activity Reports (SARs)
22
AIFMD
22
Guidance Update
22
Personally Identifiable Information
22
PTEs
22
Swaps
22
UK
21
Audits
21
Data Security
21
Federal Reserve
21
MSRB
21
Municipal Advisers
21
New Guidance
21
No-Action Letters
21
Risk Management
20
Fees
20
Investment
19
Comment Period
19
IRS
19
Policies and Procedures
19
Social Media
18
Civil Monetary Penalty
18
Currency Transaction Reports (CTR)
18
Financial Services Industry
18
Proxy Advisors
18
Risk Assessment
18
Securities Violations
18
Settlement
17
Mary Jo White
17
Proxy Voting Guidelines
17
Shareholders
16
Accredited Investors
16
CPO
16
DOJ
16
FCPA
16
Financial Adviser
16
Internal Revenue Code (IRC)
16
JOBS Act
16
Money Market Funds
16
Penalties
16
Umbrella Registration
15
Business Continuity Plans
15
Canada
15
CFPB
15
Filing Requirements
15
Pensions
15
Portfolio Managers
15
Regulation S-P
15
Third-Party Service Provider
15
Whistleblower Awards
14
Books & Records
14
Class Action
14
Criminal Prosecution
14
ETFs
14
General Solicitation
14
Hackers
14
Insurance Industry
14
NEP
14
NFA
14
Registered Investment Advisors
14
SIFMA
14
Valuation
14
Venture Capital
13
Corporate Governance
13
Disclosure
13
Due Diligence
13
Internal Controls
13
Marketing
13
Material Nonpublic Information
13
Misappropriation
13
Money Laundering
13
Patriot Act
13
Political Contributions
13
Private Investment Funds
13
Registration Requirement
13
SAR
13
Statute of Limitations
13
TPAs
13
U.S. Treasury
13
Volcker Rule
12
ALJ
12
Capital Markets
12
Commodities
12
Filing Deadlines
12
Misrepresentation
12
No-Action Relief
12
Retirement Plan Providers
11
Administrative Hearings
11
AIFM
11
Australia
11
Cease and Desist Orders
11
CTA
11
Cyber Crimes
11
Cyber Threats
11
FDIC
11
Market Manipulation
11
OCC
11
PCAOB
11
Presidential Elections
11
Proposed Amendments
11
Regulation D
11
Securities Act of 1933
11
Trustees
11
Unregistered Brokers
11
White Collar Crimes
10
Advertising
10
Asset Valuations
10
Corporate Counsel
10
Crowdfunding
10
Donald Trump
10
European Commission
10
Identity Theft
10
Investment Portfolios
10
NPRM
10
Pension Funds
10
Ponzi Scheme
10
Publicly-Traded Companies
10
Swap Dealers
9
Administrative Procedure Act
9
Administrative Proceedings
9
Appeals
9
China
9
Commodity Pool
9
EEA
9
Examination Priorities
9
Executive Compensation
9
FATCA
9
FSOC
9
Morgan Stanley
9
NIST
9
NYSE
9
Proposed Legislation
9
Qualified Client
9
Securities Litigation
9
Security-Based Swaps
9
Shareholder Litigation
9
Strategic Enforcement Plan
9
Surveys
9
Transfer Agents
8
Anti-Retaliation Provisions
8
Arbitration
8
Auditors
8
Benchmarks
8
Best Practices
8
Confidential Information
8
CPOs
8
EMIR
8
Employer Liability Issues
8
Ethics
8
Exchange-Traded Products
8
False Advertising
8
False Statements
8
Financial Statements
8
Hong Kong
8
Investment Fraud
8
Management Fees
8
Private Placements
8
RAUM
8
Retaliation
8
Rule 10b-5
8
Rule G-37
8
Safe Harbors
8
Section 36(b)
8
Stress Tests
8
Third-Party
8
Transparency
8
UCITS
8
US v Newman
7
Acquisitions
7
Advisory Contracts
7
Affiliates
7
Alternative Investment Funds
7
Amended Regulation
7
Annuities
7
ASIC
7
Cross-Border Transactions
7
Data Privacy
7
Dismissals
7
EB-5
7
First Amendment
7
Form N-Cen
7
Form N-PORT
7
Form PF
7
FTC
7
Futures
7
GAAP
7
Income Taxes
7
Investment Firms
7
Investor Protection
7
IOSCO
7
Listing Standards
7
MiFID II
7
National Futures Association
7
OFAC
7
Ontario Securities Commission (OSC)
7
Participant-Directed Plans
7
Personal Liability
7
Petition for Writ of Certiorari
7
Plan Administrators
7
Prohibited Transactions
7
Public Comment
7
Public Offerings
7
Qualified Retirement Plans
7
Sarbanes-Oxley
7
Testimonial Statements
6
Asset-Backed Securities
6
BEA
6
Beneficial Owner
6
Capital Gains
6
CIP
6
Cross-Border
6
Cyber Incident Reporting
6
Directors
6
ESOP
6
Exceptions
6
Failure To Disclose
6
Fixed Income Investments
6
Incident Response Plans
6
ISDA
6
Janus Capital Group
6
Jurisdiction
6
Life Insurance
6
Liquidity
6
Mergers
6
MiFID
6
Municipal Bonds
6
Nasdaq
6
Neither Admit Nor Deny Settlements
6
New Regulations
6
Non-Enforcement
6
Prejudgment Interest
6
Prudential Regulation Authority
6
Rating Agencies
6
Real Estate Market
6
Retirement
6
RMBS
6
Rule 506 Offerings
6
Safeguards Rule
6
Securities Exchanges
6
Separately Managed Accounts (SMA)
6
SIFIs
6
SMAs
6
Startups
6
Stocks
6
Sub-advisers
6
Summary Judgment
6
Trading Platforms
6
Training
6
Trump Administration
5
Bank Holding Company
5
Bank of New York (BNY) Mellon
5
BE-180
5
Bitcoin
5
Block Trades
5
Blue Sky Laws
5
Bonds
5
Broker Commissions
5
Business Development Companies
5
C-Suite Executives
5
Capital Formation
5
Cease and Desist
5
Charles Schwab
5
CME
5
Confidentiality Agreements
5
Corporate Taxes
5
Customer Funds Protection
5
Cyber Insurance
5
Dark Pool
5
Data Collection
5
Data Loss Prevention
5
Dealers
5
Defined Benefit Plans
5
Distribution Rules
5
Division of Investment Management
5
Due Process
5
EBSA
5
EDGAR
5
FCMs
5
FFIEC
5
Fifth Amendment
5
Financial Regulatory Reform
5
Fines
5
Foreign Banks
5
Gartenberg Factors
5
Illegal Tipping
5
Information Reports
5
Information Sharing
5
IPO
5
ISS
5
JPMorgan Chase
5
Merrill Lynch
5
Motion to Dismiss
5
Negligence
5
Payday Loans
5
Performance Fee Rule
5
Portfolio Companies
5
Preliminary Injunctions
5
Privacy Policy
5
Registered Investment Companies (RICs)
5
Regulation A
5
Regulation S-K
5
Transaction-Based Compensation
5
Vendors
5
Whistleblower Protection Policies
4
Administrative Appointments
4
Affordable Care Act
4
Algorithmic Trading
4
Alternative Mutual Funds
4
Appointments Clause
4
Australian Securities and Investments Commission
4
AXA Equitable Life
4
Bad Actors
4
Bribery
4
Burden of Proof
4
Business Taxes
4
C&DIs
4
Campaign Contributions
4
Canadian Securities Administration
4
CEA
4
CEOs
4
Chevron Deference
4
Citigroup
4
Commodity Broker
4
Community Banks
4
Corporate Officers
4
Creditors
4
D&O Insurance
4
Debt
4
Diversity
4
EBA
4
Emerging Growth Companies
4
Equity Securities
4
Facebook
4
Family Offices
4
FASB
4
FCRA
4
Fee Disclosure
4
Final Guidance
4
Financial Reporting
4
Financial Services Authority
4
FinTech
4
Foreign Investment
4
Foreign Nationals
4
Gabelli v SEC
4
Gramm-Leach-Blilely Act
4
High Frequency Trading
4
Incentive Compensation
4
Injunctions
4
Injunctive Relief
4
Insurance Litigation
4
Interest Rates
4
Intermediaries
4
Internal Investigations
4
IRA Rollovers
4
KBR (formerly Kellogg Brown & Root)
4
Legislative Agendas
4
Libor
4
Licensing Rules
4
Limited Liability Company (LLC)
4
Limited Partnerships
4
Loss Causation
4
Material Misstatements
4
Misleading Statements
4
NAV
4
New Legislation
4
OIG
4
Oil & Gas
4
PACs
4
Pending Legislation
4
Personal Benefit
4
Policy Exclusions
4
PRA
4
Preemption
4
Private Offerings
4
Private Right of Action
4
Red Flags Rule
4
Regulatory Agenda
4
Regulatory Standards
4
Required Forms
4
Retail Investors
4
Risk Mitigation
4
Rule 206(4)-5
4
Rule 506(c)
4
SBIC
4
Section 10(b)
4
Section 15(c)
4
Security and Privacy Controls
4
Security Risk Assessments
4
Shareholder Proposals
4
Small Business
4
Tax Returns
4
Third-Party Risk
4
Time Extensions
4
Tippees
4
Trusts
4
Underwriting
4
Variable Annuities
4
Verification Requirements
4
Waivers
4
Wire Fraud
3
12b-1 plan
3
Annual Reports
3
Arbitration Agreements
3
Avon
3
Background Checks
3
Basel Committee
3
BlackRock
3
Blockchain
3
Breach of Contract
3
Broken Windows
3
BrokerCheck
3
Business Advice
3
Business Associates
3
Business Development
3
Capital Requirements
3
Class Action Arbitration Waivers
3
Class Certification
3
Clearing Agents
3
CMBS
3
Collateralized Debt Obligations
3
Collateralized Loan Obligations
3
Commercial Bankruptcy
3
Commercial General Liability Policies
3
Commodities Exchange Act
3
Commodity Futures Contracts
3
Compensation Committee
3
Consent Order
3
Constitutional Challenges
3
Consultants
3
Consultation
3
Consumer Financial Products
3
Continuity of Enterprises
3
Credit Cards
3
Credit Suisse
3
Customer Due Diligence (CDD)
3
Debt Securities
3
Debtors
3
Deferred Prosecution Agreements
3
Derivative Suit
3
Deutsche Bank
3
Discovery Rule
3
Disruptive Trading Practices
3
DMO
3
Duty of Care
3
Duty of Loyalty
3
Employment Contract
3
Exclusions
3
False Claims Act (FCA)
3
FHFA
3
FIfth Third Bancorp v Dudenhoeffer
3
Filing Fees
3
Financial Instruments
3
Finders
3
Fixing America’s Surface Transportation Act (FAST Act)
3
FLSA
3
Foreign Investment Fund
3
Foreign Official
3
Form 13F
3
Form D Filing
3
Form N-SAR
3
Forum Selection
3
Fund Expenses
3
Germany
3
Gifts
3
Government Entities
3
Government Officials
3
Guilty Pleas
3
Halliburton v Erica P. John Fund
3
High Net-Worth
3
Hiring & Firing
3
IFRS
3
Independence Rules
3
Independent Directors
3
Inflation Adjustments
3
Institutional Investors
3
Internet
3
Internet of Things
3
Investigations
3
Investment Advisory Agreements
3
Investment Banks
3
Japan
3
Lehman Brothers
3
Liquidity Risk Management Rule
3
Major Swap Participants
3
Margin Requirements
3
Misallocation of Funds
3
Mortgage-Backed Securities
3
Mortgages
3
Motion for Summary Judgment
3
Municipal Securities Issuers
3
Municipal Securities Market
3
NASAA
3
Non-GAAP Financial Measures
3
Notice Requirements
3
Offering Fraud
3
Offshore Funds
3
Online Marketplace Lending
3
OSHA
3
OTC
3
Partnerships
3
Plan Participants
3
Policy Violations
3
Pooled Investment Vehicles
3
Proposed Rules
3
Proxy Solicitations
3
Proxy Statements
3
Public Pension
3
Puerto Rico
3
Pyramid Schemes
3
Qui Tam
3
Ranieri Partners
3
Real Estate Investments
3
Recidivism
3
Registered Funds
3
Regulation FD
3
Regulation S-X
3
Regulatory Oversight
3
REIT
3
Related Parties
3
Repeal
3
Revenue Sharing
3
RICO
3
Ring-Fencing
3
Rule 204-2
3
Rule 21F
3
Rulemaking Process
3
Scienter
3
Section 10(b)-5
3
Securities Act
3
Service Agreements
3
Singapore
3
Social Media Policy
3
Solicitor General
3
Spoofing
3
Standing
3
Suitability Rule
3
Supervision
3
Tax Evasion
3
Tax Reform
3
Threshold Requirements
3
Tibble v Edison Int
3
Training Requirements
3
Transaction Fees
3
U.S. Commerce Department
3
Wells Fargo
3
Wells Notice
3
Yates Memorandum
2
Aiding and Abetting
2
Allocation of Funds
2
Amended Legislation
2
Analytics
2
Angel Investors
2
Anti-Avoidance
2
Anti-Bribery
2
Article II
2
Asia
2
Attorney-Client Privilege
2
Automotive Industry
2
BaFin
2
Bank Holding Company Act
2
Bank of America
2
Bank of England
2
Barclays
2
Bebo v SEC
2
Beneficiaries
2
Big Data
2
Board of Trustees
2
Breach Notification Rule
2
Brokerage Accounts
2
BRRD
2
Business Valuations
2
Capital Raising
2
CCO
2
CCPs
2
Central Counterparties
2
Chamber of Commerce
2
Cherry Picking
2
Clawbacks
2
Client Data
2
Collateral Estoppel
2
Commercial Speech
2
Compensation
2
Compensation Agreements
2
Complaint Procedures
2
Comptroller
2
Congressional Investigations & Hearings
2
Consumer Lenders
2
Corporate Culture
2
Corporate Issuers
2
Covered Transactions
2
Credit Monitoring
2
Criminal Conspiracy
2
Custodians
2
Data Breach Plans
2
Data Use Policies
2
Deadlines
2
Department of Business Oversight
2
Disciplinary Proceedings
2
Discounts
2
Discovery
2
Disqualification
2
Dividends
2
Duty of Prudence
2
Duty to Monitor
2
Economic Sanctions
2
EEOC
2
Electronic Reporting
2
Employer Group Health Plans
2
Enforcement Statistics
2
Equal Protection
2
Escrow Accounts
2
Established Business Relationship
2
Estate Planning
2
Estate Tax
2
EU Directive
2
EU Market Abuse Regulation (EU MAR)
2
European Banking Authority
2
European Central Bank
2
European Court of Justice (ECJ)
2
Exemptive Relief
2
Export Controls
2
Fair Market Value
2
False Reporting
2
Falsified Documents
2
Fannie Mae
2
FBI
2
FCC
2
Federal Aviation Administration (FAA)
2
Federal Budget
2
Federal Register
2
Financial Planning
2
Financial Services Committee
2
Flash Boys
2
Foreclosure
2
Foreign Affiliates
2
Form BE-10
2
Forum Selection Clause
2
Fracking
2
France
2
Fraud-on-the-Market
2
Fraudulent Concealment
2
Freddie Mac
2
GAO
2
Google
2
Government Investigations
2
Health Savings Accounts
2
HHS
2
HIPAA
2
HM Treasury
2
Hong Kong Securities and Futures Commission (HKSFC)
2
HSBC
2
Human Resources Professionals
2
Hurricane Sandy
2
Independent Director
2
Indictments
2
Individual Accountability
2
Innovation
2
Innovative Technology
2
Insurance Brokers
2
Intergovernmental Agreements
2
Internet Service Providers (ISPs)
2
Interpretive Letters
2
Jury Trial
2
Kickbacks
2
Lawson v FMR
2
Legal Fees
2
Lenders
2
Lending
2
LiquidAlts
2
Liquidity Fees
2
Living Will
2
London Stock Exchange
2
M&A Brokers
2
Mandatory Arbitration Clauses
2
Mandatory Clearing Requirements
2
Meals-Gifts-and Entertainment Rules
2
Medical Marijuana
2
Member State
2
Merger Agreements
2
MiFIR
2
Minimum Salary
2
Mobile Apps
2
Mortgage Lenders
2
Multinationals
2
NAIC
2
NASD
2
National Bank Act
2
National Private Placement Regimes (NPPR)
2
Non-Public Information
2
Non-Solicitation Agreements
2
NRSRO
2
NYDFS
2
Obama Administration
2
OCR
2
Offerings
2
OMB
2
Omnicare v Laborers District Council
2
Outsourcing
2
Over-Time
2
Patent Litigation
2
Patents
2
Pay or Play
2
Pay-for-Performance
2
Payment Systems
2
Permanent Injunctions
2
Pharmaceutical Industry
2
Political Campaigns
2
Principal Transaction Exemption
2
Prioritized Examination
2
Privacy Concerns
2
Private Equity Firms
2
Professional Liability
2
Proprietary Trading
2
Prospectus
2
Public Disclosure
2
Putative Class Actions
2
Redemption Gates
2
Registration Statement
2
Regulation M
2
Regulatory Flexibility Act
2
Reimbursements
2
Remuneration
2
Renewal Fees
2
Restrictive Covenants
2
Retailers
2
Retroactivity
2
Reversal
2
RICs
2
Rule 105
2
Rule 147
2
Rule 506
2
Scams
2
Schedule 13D
2
SDN List
2
SEC Commissioner
2
Securities Dealers
2
Securities Regulation
2
Security Audits
2
Self-Employment Tax
2
Separate Accounts
2
Settlement Agreements
2
Severance Agreements
2
SFO
2
Share Classes
2
Short Selling
2
SLUSA
2
Social Media Account Ownership
2
Standard of Care
2
Stark Law
2
State and Local Government
2
State Farm
2
State Taxes
2
Stock Drop Litigation
2
Stock Repurchases
2
Strict Liability
2
Structured Financial Products
2
Subject Matter Jurisdiction
2
Swiss Banks
2
Tax Liability
2
Tax Refunds
2
Terrorism Funding
2
Third-Party Relationships
2
TRACE
2
Twitter
2
UBS
2
Unregistered Securities
2
US Bank
2
US v Salman
2
Virtual Currency
2
Volkswagen
2
VPPA
2
Wage and Hour
2
Wealth Management
2
Websites
2
White-Collar Exemptions
2
Workplace Injury
2
Year-End Planning
2
Young Lawyers
1
21st Century Cures Initiative
1
529 Plans
1
AARP
1
ABLE Act
1
Accounting Controls
1
Accounting Fraud
1
Acquisition Agreements
1
Actual Damages
1
Actual or Constructive Knowledge
1
ADA
1
Add-ons
1
Administrative Authority
1
Administrative Exemption
1
Administrative Interpretation
1
Administrative Merits Determinations
1
Admissions
1
Adobe
1
Advanced Notice of Proposed Rulemaking (ANPRM)
1
Advisory Opinions
1
Aereo
1
Affiliated-Business Arrangements
1
AFG
1
Aggregation Rules
1
Agricultural Land
1
AIF
1
AIFS
1
AirBnB
1
Akamai Technologies
1
AL Supreme Court
1
Ally Financial Inc
1
Alstom
1
Alternative Fee Arrangements
1
Alternative Investment Fund Managers Directive
1
Alternative Trading Systems
1
Amazon Marketplace
1
Amended Forms
1
American Bar Association (ABA)
1
American Express
1
American Taxpayer Relief Act
1
Ameriprise Financial
1
AMF
1
Amgen Inc. v Connecticut Retirement Plans
1
Amount in Controversy
1
Annual Filings
1
Annual Meeting
1
Anthem Blue Cross
1
Anti-Terrorism Financing
1
APIs
1
Appearance Policy
1
Appropriations Bill
1
Arbitrage
1
Arbitrary and Capricious
1
Arbitration Awards
1
Arm's Length Principle
1
Arms Length Transactions
1
Article III
1
Asbestos
1
Asbestos Litigation
1
Asia Pacific
1
Asset Class
1
Asset Freeze
1
Asset Protection
1
Asset Seizure
1
Asset Stripping
1
Assignments
1
AT&T
1
AT&T Mobility
1
ATS
1
Australian Stock Exchange
1
Automation Systems
1
Automobile Recall
1
Aviation Industry
1
Bail-In Provisions
1
Bank Fraud
1
Banking Examinations
1
Barack Obama
1
Basel III
1
Benchmarking
1
Bermuda
1
Bernie Madoff
1
Best Buy
1
Best Management Practices
1
Bid Rigging
1
Bilateral Agreements
1
Biofuel
1
BitLicense
1
BlueLinx Holdings
1
BNP Paribas
1
Board Deferance
1
Bond Markets
1
Borrowers
1
Brazil
1
Broadband
1
Budget Recollection Legislation
1
Bureau of Economic Analysis
1
Burwell v Hobby Lobby
1
Business Assets
1
Business Disruption
1
Business Entities
1
Business Interruption
1
Business Judgment Rule
1
Business Litigation
1
Business Partners
1
Business Plans
1
Cable Television Providers
1
CAFA
1
CalPERS
1
CalSTRS
1
Canada Revenue Agency (CRA)
1
Capital Acquisition Broker (CAB)
1
Capital Losses
1
Capital Markets Union
1
Capital Rules
1
Captive Insurance Company
1
CARDS
1
Carried Interest
1
Carried Interest Tax Rates
1
Carve Out Provisions
1
Case Consolidation
1
Caterpillar
1
Cause of Action Accrual
1
Cayman Islands
1
CDIs
1
Census
1
Certification Requirements
1
Certifications
1
Certiorari
1
Chapter 11
1
Chapter 7
1
Charitable Deductions
1
Checking Accounts
1
CHIP
1
Choice-of-Law
1
Churning
1
CISO
1
Civil Code
1
Civil Forfeiture
1
Civil Penalty Fund
1
Claims Made Policy
1
Clean Energy
1
Clearing Agencies
1
Client Meetings
1
Client Services