Browse Related Topics For:

Investment Adviser

357
SEC
130
Broker-Dealer
79
Enforcement Actions
66
Dodd-Frank
66
FINRA
62
Compliance
59
OCIE
53
Investment Advisers Act of 1940
50
CFTC
48
Cybersecurity
42
Enforcement
36
Hedge Funds
33
Registration
30
Fraud
28
Custody Rule
28
Fiduciary Duty
25
Insider Trading
24
Investment Funds
23
Conflicts of Interest
22
Private Equity Funds
21
ERISA
21
Pay-To-Play
20
Disclosure Requirements
20
Securities
20
Securities Fraud
19
Investment Management
19
Proxy Advisors
19
Reporting Requirements
18
EU
18
Private Equity
17
Mutual Funds
17
Retirement Plan
16
Brokers
16
Fund Managers
16
Proxy Voting Guidelines
16
Risk Alert
15
CPO
15
Investors
15
NEP
15
Securities Exchange Act
14
AIFMD
14
Audits
14
Data Protection
14
Swaps
14
Whistleblowers
13
Benefit Plan Sponsors
13
Social Media
12
401k
12
Asset Management
12
Banks
12
Chief Compliance Officers
12
Exemptions
12
Popular
12
SCOTUS
11
Accredited Investors
11
Federal Reserve
11
Industry Examinations
11
Investment Company Act of 1940
11
JOBS Act
11
NFA
11
Transfer Agents
10
Fees
10
Private Funds
10
Risk Management
10
Settlement
10
Valuation
9
CTA
9
Identity Theft
9
Sanctions
8
AIFM
8
Alternative Investment Funds
8
Asset Valuations
8
Cyber Attacks
8
Derivatives
8
EEA
8
General Solicitation
8
Mary Jo White
8
Money Market Funds
8
No-Action Letters
8
Recordkeeping Requirements
8
SEC Examination Priorities
8
Strategic Enforcement Plan
7
Administrative Hearings
7
Anti-Money Laundering
7
Class Action
7
CPOs
7
DOL
7
ETFs
7
Filing Requirements
7
Form ADV
7
Guidance Update
7
Marketing
7
Municipal Advisers
7
Pensions
7
Plan Administrators
6
Banking Sector
6
Commodities
6
Corporate Governance
6
Due Diligence
6
Employer Liability Issues
6
Financial Adviser
6
FinCEN
6
IRS
6
NIST
6
No-Action Relief
6
Non-Enforcement
6
Private Investment Funds
6
Retaliation
6
Statute of Limitations
6
Venture Capital
6
Volcker Rule
5
Advertising
5
Anti-Retaliation Provisions
5
Board of Directors
5
Breach of Duty
5
Civil Monetary Penalty
5
Criminal Prosecution
5
Cross-Border
5
Crowdfunding
5
Disclosure
5
Disgorgement
5
False Advertising
5
FATCA
5
FCPA
5
Financial Institutions
5
Fixed Income Investments
5
Investment Companies
5
Market Manipulation
5
Misappropriation
5
Ponzi Scheme
5
Publicly-Traded Companies
5
Regulation D
5
Regulatory Agenda
5
Shareholders
5
SIFMA
5
Stress Tests
5
Swap Dealers
5
Whistleblower Awards
4
Alternative Mutual Funds
4
Canada
4
Clearing Agents
4
Commodity Pool
4
Creditors
4
EB-5
4
ESMA
4
European Commission
4
False Statements
4
Family Offices
4
FCMs
4
FCRA
4
FDIC
4
Final Guidance
4
Financial Services Authority
4
Financial Statements
4
FTC
4
Futures
4
Gabelli v SEC
4
Hong Kong
4
Issuers
4
Listing Standards
4
Misrepresentation
4
Nasdaq
4
New Guidance
4
NYSE
4
Penalties
4
Portfolio Managers
4
Proposed Legislation
4
Qualified Client
4
Qualified Retirement Plans
4
Red Flags Rule
4
Risk Assessment
4
Rule 10b-5
4
Rule 506 Offerings
4
Securities Act of 1933
4
Testimonial Statements
4
U.S. Treasury
4
UK
3
Affiliates
3
Asset-Backed Securities
3
Auditors
3
Australia
3
Bad Actors
3
Bank Holding Company
3
Block Trades
3
Bonds
3
Broken Windows
3
China
3
Collateralized Debt Obligations
3
Compensation Committee
3
Continuity of Enterprises
3
Credit Suisse
3
Discovery Rule
3
DOJ
3
Duty of Care
3
Equity Securities
3
Examination Priorities
3
Excessive Fees
3
Exchange-Traded Products
3
FFIEC
3
Fiduciary Liability
3
Final Rules
3
Financial Conduct Authority
3
Financial Regulatory Reform
3
Financial Reporting
3
Finders
3
Fines
3
Foreign Banks
3
Form PF
3
Income Taxes
3
Internal Controls
3
Internet
3
Investigations
3
IRC
3
ISS
3
LiquidAlts
3
Merrill Lynch
3
Notice Requirements
3
PCAOB
3
Private Placements
3
Proposed Regulation
3
Prudential Regulation Authority
3
Pyramid Schemes
3
Ranieri Partners
3
Rule 506(c)
3
Rulemaking Process
3
Safe Harbors
3
Sarbanes-Oxley
3
Shareholder Litigation
3
SIFIs
3
Startups
3
Sub-advisers
3
Suitability Rule
3
Tax Evasion
3
Tax Returns
3
Third-Party Service Provider
3
TPAs
3
Transparency
3
Trustees
3
Verification Requirements
3
White Collar Crimes
2
Administrative Procedure Act
2
Advisory Contracts
2
ALJ
2
Arbitration
2
Australian Securities and Investments Commission
2
Background Checks
2
Bitcoins
2
Books & Records
2
Breach of Contract
2
Bribery
2
Broker Commissions
2
Business Development Companies
2
C-Suite Executives
2
Capital Gains
2
Capital Markets
2
Capital Requirements
2
Cease and Desist
2
CFPB
2
Charles Schwab
2
Class Action Arbitration Waivers
2
Class Certification
2
Commercial General Liability Policies
2
Commodities Exchange Act
2
Consent Order
2
Customer Funds Protection
2
Cyber Insurance
2
Damages
2
Dark Pool
2
Data Breach
2
Data Collection
2
Deadlines
2
Debt
2
Deferred Prosecution Agreements
2
Derivative Suit
2
Directors
2
Disqualification
2
EMIR
2
Employee Benefits
2
Escrow Accounts
2
European Banking Authority
2
Executive Compensation
2
Expungement
2
Falsified Documents
2
Filing Deadlines
2
Filing Fees
2
Foreign Investment
2
Foreign Nationals
2
Form 13F
2
FSOC
2
GAAP
2
Halliburton v Erica P. John Fund
2
High Frequency Trading
2
Hiring & Firing
2
HSBC
2
Hurricane Sandy
2
Independence Rules
2
Injunctive Relief
2
Intergovernmental Agreements
2
Internet Service Providers
2
Investment Fraud
2
IPO
2
ISDA
2
Janus Capital Group
2
Lawson v FMR
2
Legislative Agendas
2
Libor
2
Liquidity Fees
2
Major Swap Participants
2
Mandatory Clearing Requirements
2
MiFID
2
Misallocation of Funds
2
Misleading Statements
2
Mortgage-Backed Securities
2
Municipal Bonds
2
Municipal Securities Issuers
2
NASAA
2
National Futures Association
2
NAV
2
Neither Admit Nor Deny Settlements
2
New Legislation
2
New Regulations
2
Non-Compete Agreements
2
Non-Solicitation Agreements
2
Ontario Securities Commission
2
Patent Litigation
2
Patents
2
Pay or Play
2
Payday Loans
2
Pending Legislation
2
Policies and Procedures
2
Political Contributions
2
Pooled Investment Vehicles
2
Prejudgment Interest
2
Prioritized Examination
2
Private Offerings
2
Proxy Solicitations
2
Real Estate Investments
2
Real Estate Market
2
Redemption Gates
2
Regulation S-P
2
Retirement
2
Revenue Sharing
2
Scams
2
Section 10(b)
2
Securities Dealers
2
Securities Litigation
2
Security Audits
2
Security-Based Swaps
2
Self-Employment Tax
2
SFO
2
Shareholder Proposals
2
Small Business
2
Social Networks
2
State and Local Government
2
Stocks
2
Supervision
2
Tax Refunds
2
Third-Party
2
Transaction Fees
2
Transaction-Based Compensation
2
Trusts
2
UBS
2
Variable Annuities
2
Waivers
2
Wire Fraud
2
Year-End Planning
1
Accounting Controls
1
Accounting Fraud
1
Acquisition Agreements
1
Acquisitions
1
Administrative Procedures Act
1
Aereo
1
Affiliated-Business Arrangements
1
Affordable Care Act
1
Akamai Technologies
1
Algorithmic Trading
1
Alstom
1
Amended Legislation
1
Amgen Inc. v Connecticut Retirement Plans
1
Amount in Controversy
1
Angel Advisers
1
Angel Networks
1
Annual Assessments
1
Annual Filings
1
Annual Review
1
Anti-Bribery
1
APIs
1
Appeals
1
Appearance Policy
1
Arbitration Agreements
1
Asbestos
1
Asbestos Litigation
1
ASIC
1
Asset Management Unit
1
Asset Protection
1
Asset Stripping
1
Assignments
1
AT&T Mobility
1
ATS
1
Australian Stock Exchange
1
Avon
1
Bank Fraud
1
Bank Holding Company Act
1
Bank of America
1
Bank of England
1
Bank Secrecy Act
1
Barack Obama
1
Basel Committee
1
Bebo v SEC
1
Benchmarks
1
Bernie Madoff
1
Best Management Practices
1
Bid Rigging
1
Big Data
1
Bitcoin
1
BitLicense
1
Board of Trustees
1
Brokerage Accounts
1
Burwell v Hobby Lobby
1
Business Continuity Plans
1
Business Cycle
1
Business Judgment Rule
1
Business Litigation
1
Business Taxes
1
Business Valuations
1
BVI Business Companies
1
C&DIs
1
CACR
1
CAFA
1
Campaign Contributions
1
CARDS
1
Carried Interest
1
Cause of Action Accrual
1
CCPs
1
CEA
1
Cease and Desist Orders
1
CEOs
1
Certifications
1
Chamber of Commerce
1
Churning
1
Civil Forfeiture
1
Civil Penalty Fund
1
Clawbacks
1
Clearing Agencies
1
Client Meetings
1
Client Services
1
CME
1
CoC
1
Collateralized Loan Obligations
1
Comcast
1
Commodity Broker
1
Complaint Procedures
1
Conditional Gifts
1
Confidential Information
1
Confidentiality
1
Conspiracies
1
Consultants
1
Consumer Lenders
1
Contractors
1
Controlling Stockholders
1
Copyright
1
Corporate Counsel
1
Corporate Criminal Fines
1
Corporate Taxes
1
Credit Ratings
1
Cross-Border Transactions
1
CTOs
1
Cuba
1
Custodians
1
Custody
1
Customer Funds
1
Cybersecurity Framework
1
D&O Insurance
1
Dart Cherokee Basin Operating Co. v. Owens
1
Data Brokers
1
Data Security Act
1
Data Use Policies
1
Debit Cards
1
Debt Collection
1
Debt Securities
1
Debtors
1
Declaratory Relief
1
Deductions
1
Defined Benefit Plans
1
Delaware General Corporation Law
1
Demand Futility
1
Department of Business Oversight
1
Department of Corporations
1
Deposit Advances
1
Digital Assets
1
Disaster Aid
1
Disaster Preparedness
1
Dismissals
1
Distribution Rules
1
DMCA
1
Duty to Defend
1
Earnings Reports
1
ECJ
1
EDGAR
1
Electronic Communications
1
Emerging Growth Companies
1
Emerging Technology Companies
1
Employment Contract
1
Endorsements
1
Enforcement Statistics
1
Enterprise Risks
1
Equity Swaps
1
ESOP
1
Ethics
1
European Court of Justice
1
Excess Policies
1
Exclusions
1
Exclusive Forum
1
Exempted Companies
1
Exempted Limited Partnerships
1
Exemptive Relief
1
Export Controls
1
FAA
1
Facebook
1
Family Businesses
1
Fannie Mae
1
FATCA Timeline
1
FCA
1
Fee Disclosure
1
Fee-Shifting
1
Fee-Splitting
1
FERC
1
FFI
1
FHFA
1
Fiduciary Warranty
1
FIfth Third Bancorp v Dudenhoeffer
1
Financial Accounting Standards Board
1
FIRREA
1
Fiscal Year
1
Floating NAV
1
FLSA
1
FOIA
1
Foreclosure
1
Foreign Affiliates
1
Foreign Investment Fund
1
Foreign Jurisdictions
1
Form D Filing
1
Form SHL
1
Forum Selection Clause
1
Foxhall Capital Management
1
Fracking
1
France
1
Fraud and Waste
1
Fraud-on-the-Market
1
Fraudulent Transfers
1
Freddie Mac
1
Fund Distribution
1
Funding
1
GAO
1
General Partnerships
1
Gifts
1
Governance Standards
1
Government Entities
1
Gramm-Leach-Blilely Act
1
Guilty Pleas
1
Habeas Corpus
1
Hackers
1
Hallmark
1
Harmonization Rules
1
Harvard University
1
Heartbleed
1
Hedge Clauses
1
Hedging
1
Herballife
1
Hidden Fees
1
High Growth Segment
1
HKEx
1
Human Resources Professionals
1
IASB
1
ICI
1
Indictments
1
Indirect Investors
1
Information Reports
1
Information Security
1
Injunctions
1
Insurers
1
Integration
1
Interchange Fees
1
Internal Investigations
1
International Limited Partnerships
1
Internet of Things
1
Internet Streaming
1
Investment Advisory Agreements
1
Investment Contract
1
Investment Errors
1
Investment Firms
1
Investment Opportunities
1
Investment Portfolios
1
Investor Privacy Rule
1
IOSCO
1
Jerk
1
Judge Rakoff
1
Jurisdiction
1
Jury Trial
1
Leased Employees
1
Legal Entity Identifiers
1
Lehman Brothers
1
Lending
1
Leveraged Loans
1
Licenses
1
Licensing Rules
1
Life Insurance
1
Limited Liability Companies
1
Limited Partnership Agreements
1
Limited Partnerships
1
Liquidity Coverage Ratio
1
Liquidity Risk Management Rule
1
Liquidnet
1
Living Will
1
Loans
1
Lobbying
1
London Stock Exchange
1
Management Fees
1
Marijuana
1
Market Access Rule
1
Market Making
1
Market Risk Capital Rule
1
Mass Tort Litigation
1
Master Limited Partnerships
1
Material Misstatements
1
Material Nonpublic Information
1
MCDC
1
Memorandum of Guidance
1
Memorandum of Understanding
1
Mexico
1
Minority Shareholders
1
Mobile Banking
1
Money Laundering
1
Moratorium
1
Mortgages
1
MSRB
1
Multinationals
1
Municipal Securities Market
1
Municipalities
1
NAIC
1
NASD
1
Natural Disasters
1
Natural Resources
1
Negligence
1
Negligent Management
1
Net Investment Income
1
New Amendments
1
NFC Representation Protocol
1
Non-Disclosure Agreement
1
Non-Judicial Settlement Agreements
1
NOPR
1
Novation
1
NSMIA
1
Obama Administration
1
OCC
1
OFAC
1
Offerings
1
Officers
1
Offshore Companies
1
Offshore Funds
1
Oil & Gas
1
OMB
1
Oppenheimer & Co.
1
Oppenheimer Asset Management
1
Order Routing
1
OSC
1
OSHA
1
OTC
1
OVDI
1
PACs
1
Patent Infringement
1
Patent-Eligible Subject Matter
1
Patricia Cornwell
1
Payment Systems
1
Pension Funds
1
Peregrine Financial Group
1
Personal Liability
1
Personally Identifiable Information
1
Pharmaceutical
1
Poison Pill
1
Policy Exclusions
1
Policy Violations
1
Presence Exam Initiative
1
Privacy Concerns
1
Privacy Policy
1
Privately Held Corporations
1
Professional License
1
Property Insurance
1
Proposed Amendments
1
Proprietary Trading
1
Proxies
1
Proxy Season
1
Public Comment
1
Public Offerings
1
Public Performance Rights
1
Puerto Rico
1
Pump and Dump
1
Putative Class Actions
1
Qualified Mortgage Rule
1
Qualified Purchaser
1
Ratings
1
Real Estate Brokers
1
Rebates
1
Registered Funds
1
Registered Representatives
1
Regulation A
1
Regulation FD
1
Regulation M
1
Regulation S-ID
1
Regulatory Reform
1
Reimbursements
1
Religious Freedom Restoration Act
1
Remedial Actions
1
Removal
1
Remuneration
1
Renewal Fees
1
Required Documentation
1
Rescission
1
Restrictive Covenants
1
Retailers
1
Retroactivity
1
Reverse Churning
1
Revlon Standard
1
RIAs
1
RICs
1
Risk Retention
1
RMBS
1
Rule 144A
1
Rule 17j-1
1
Rule 2111
1
Rule 506
1
S&P
1
SAC Capital
1
SAR
1
Say-on-Pay
1
SBIC
1
Schedule 13D
1
Schedule 13G
1
Scienter
1
SDN List
1
SEC Commissioner
1
Section 10(b)-5
1
Section 204
1
Section 546(e)
1
Segregated Portfolio Companies
1
Sentinel Management Group
1
Sequestration
1
Shareholder Demands
1
Shareholder Rights Project
1
Short Sales
1
SIBA
1
Significant Interest
1
Singapore
1
Social Media Policy
1
Solar Energy
1
Special Purpose Vehicles
1
Spoofing
1
SPVs
1
Stanford Ponzi Scheme
1
Stare Decisis
1
State Taxes
1
Statutory Rights
1
Stock Drop Litigation
1
Stock Options
1
Stock Repurchases
1
Structured Financial Products
1
Subcontractors
1
Subject Matter Jurisdiction
1
Subpoenas
1
Subsidiaries
1
Suitability Requirements
1
Summary Judgment
1
Superannuation
1
Swap Market
1
Taco Bell
1
Tax Deductions
1
Tax Loopholes
1
Tax Preparers
1
Tax Reform
1
Tax Shelters
1
TCPA
1
TD Ameritrade
1
Text Messages
1
Third-Party Agents
1
Third-Party Beneficiaries
1
Third-Party Liability
1
Third-Party Relationships
1
Third-Party Risk
1
Title IV
1
Tolling
1
Trade Market Abuse
1
Trust Administration
1
Twitter
1
UK Regulatory Reforms
1
Uniform Fiduciaries Act
1
Unit Trusts
1
Unregistered Securities
1
US Bank
1
USCIS
1
Variable Insurance
1
VAT Exemptions
1
Venture Funding
1
Virtual Currency
1
VPPA
1
Wall Street
1
Websites
1
Whistleblower Protection Policies
1
Willful Violations
1
WKSIs
1
Written Agreements
1
Written Consent