Browse Related Topics For:

Investment Adviser

675
SEC
241
Broker-Dealer
196
Enforcement Actions
193
Fiduciary Duty
136
DOL
134
Cybersecurity
130
ERISA
129
Retirement Plan
124
FINRA
118
Investment Advisers Act of 1940
113
Compliance
111
Dodd-Frank
105
OCIE
100
Conflicts of Interest
82
CFTC
75
Financial Institutions
70
Investment Funds
61
Hedge Funds
61
IRA
60
Best Interest Contract Exemptions
60
Disclosure Requirements
59
Benefit Plan Sponsors
58
Investment Management
55
Reporting Requirements
51
FinCEN
50
Anti-Money Laundering
50
Enforcement
48
Insider Trading
46
EU
45
Final Rules
45
Popular
45
Proposed Regulation
44
Private Equity Funds
42
Brokers
42
Securities Fraud
41
Pay-To-Play
40
Mutual Funds
39
Fraud
39
Recordkeeping Requirements
39
Securities
38
401k
36
Chief Compliance Officers
34
Investment Companies
34
Investors
34
Private Equity
33
Registration
32
Bank Secrecy Act
31
Custody Rule
31
Data Protection
31
Investment Company Act of 1940
31
Securities Exchange Act
30
Best Interest Standard
30
Derivatives
30
Financial Markets
29
Banks
29
Fund Managers
29
Private Funds
29
Risk Alert
29
Whistleblowers
28
Exemptions
27
Form ADV
27
SCOTUS
26
Breach of Duty
26
Data Breach
26
Sanctions
24
Suspicious Activity Reports
23
Asset Management
23
BSA/AML
23
Employee Benefits
23
European Securities and Markets Authority (ESMA)
23
Personally Identifiable Information
22
Banking Sector
22
Board of Directors
22
Cyber Attacks
22
Guidance Update
22
SEC Examination Priorities
22
Swaps
21
AIFMD
21
Data Security
21
PTEs
21
Risk Management
20
Disgorgement
20
Federal Reserve
20
Financial Conduct Authority (FCA)
20
Industry Examinations
20
New Guidance
20
No-Action Letters
19
Audits
19
Comment Period
19
UK
18
Civil Monetary Penalty
18
Currency Transaction Reports (CTR)
18
Policies and Procedures
18
Proxy Advisors
18
Risk Assessment
18
Settlement
17
DOJ
17
Mary Jo White
17
Proxy Voting Guidelines
17
Social Media
16
CPO
16
Investment
16
IRS
16
JOBS Act
16
Shareholders
15
Accredited Investors
15
Fees
15
Money Market Funds
15
Municipal Advisers
15
Regulation S-P
14
Criminal Prosecution
14
General Solicitation
14
Hackers
14
NEP
14
NFA
14
Portfolio Managers
13
Canada
13
Financial Adviser
13
Internal Controls
13
Internal Revenue Code (IRC)
13
Material Nonpublic Information
13
Money Laundering
13
Patriot Act
13
Registered Investment Advisors
13
SAR
13
Third-Party Service Provider
13
U.S. Treasury
13
Valuation
13
Venture Capital
12
Business Continuity Plans
12
Commodities
12
Corporate Governance
12
Disclosure
12
Due Diligence
12
FCPA
12
Misappropriation
12
No-Action Relief
12
Pensions
12
Private Investment Funds
12
SIFMA
12
Volcker Rule
12
Whistleblower Awards
11
Administrative Hearings
11
Australia
11
Capital Markets
11
CTA
11
Cyber Crimes
11
Cyber Threats
11
ETFs
11
Excessive Fees
11
Filing Requirements
11
Market Manipulation
11
Marketing
11
Misrepresentation
11
Penalties
11
Proposed Amendments
10
AIFM
10
ALJ
10
Asset Valuations
10
CFPB
10
Class Action
10
FDIC
10
Filing Deadlines
10
Identity Theft
10
Insurance Industry
10
NPRM
10
PCAOB
10
Ponzi Scheme
10
Registration Requirement
10
Regulation D
10
Securities Act of 1933
10
Swap Dealers
10
Trustees
10
Unregistered Brokers
9
Cease and Desist Orders
9
Commodity Pool
9
Employer Liability Issues
9
European Commission
9
False Statements
9
FATCA
9
Financial Services Industry
9
FSOC
9
Investment Portfolios
9
MSRB
9
NIST
9
Political Contributions
9
Publicly-Traded Companies
9
Security-Based Swaps
9
Statute of Limitations
9
Strategic Enforcement Plan
9
Transfer Agents
8
Advertising
8
Alternative Investment Funds
8
Anti-Retaliation Provisions
8
Auditors
8
Benchmarks
8
Best Practices
8
Books & Records
8
CPOs
8
Crowdfunding
8
EEA
8
Ethics
8
Executive Compensation
8
False Advertising
8
Financial Sector
8
Financial Statements
8
Investment Fraud
8
NYSE
8
Proposed Legislation
8
Qualified Client
8
Retaliation
8
Securities Violations
8
Shareholder Litigation
8
Stress Tests
8
Third-Party
8
White Collar Crimes
7
Administrative Procedure Act
7
Affiliates
7
Appeals
7
China
7
Confidential Information
7
Corporate Counsel
7
Cross-Border Transactions
7
Data Privacy
7
EB-5
7
EMIR
7
Exchange-Traded Products
7
FTC
7
Futures
7
Hong Kong
7
Incident Response Plans
7
Investment Firms
7
Listing Standards
7
Morgan Stanley
7
National Futures Association
7
OCC
7
OFAC
7
Ontario Securities Commission (OSC)
7
Participant-Directed Plans
7
Pension Funds
7
Petition for Writ of Certiorari
7
Plan Administrators
7
Prudential Regulation Authority
7
Qualified Retirement Plans
7
Safe Harbors
7
Sarbanes-Oxley
7
Testimonial Statements
7
Transparency
6
Administrative Proceedings
6
Arbitration
6
ASIC
6
BEA
6
Capital Gains
6
CIP
6
Cyber Incident Reporting
6
ESOP
6
Examination Priorities
6
First Amendment
6
Fixed Income Investments
6
Form N-Cen
6
Form N-PORT
6
Form PF
6
GAAP
6
Investor Protection
6
IOSCO
6
ISDA
6
Liquidity
6
Management Fees
6
MiFID
6
Municipal Bonds
6
Nasdaq
6
Neither Admit Nor Deny Settlements
6
Non-Enforcement
6
Prejudgment Interest
6
Public Comment
6
Public Offerings
6
Retirement
6
Rule 10b-5
6
Rule 506 Offerings
6
Safeguards Rule
6
Securities Exchanges
6
Securities Litigation
6
Stocks
6
Sub-advisers
6
Surveys
6
TPAs
6
Trading Platforms
6
Training
6
Umbrella Registration
6
US v Newman
5
Acquisitions
5
Advisory Contracts
5
Asset-Backed Securities
5
Bank Holding Company
5
Bank of New York (BNY) Mellon
5
BE-180
5
Bitcoin
5
Block Trades
5
Blue Sky Laws
5
Broker Commissions
5
Business Development Companies
5
C-Suite Executives
5
Cease and Desist
5
Cross-Border
5
Dark Pool
5
Data Collection
5
Data Loss Prevention
5
Dealers
5
Directors
5
Dismissals
5
Division of Investment Management
5
EBSA
5
FCMs
5
FFIEC
5
Financial Regulatory Reform
5
Fines
5
Foreign Banks
5
Income Taxes
5
Information Reports
5
Information Sharing
5
Janus Capital Group
5
JPMorgan Chase
5
Jurisdiction
5
Life Insurance
5
MiFID II
5
Payday Loans
5
Personal Liability
5
Privacy Policy
5
Rating Agencies
5
Real Estate Market
5
Regulation A
5
Retirement Plan Providers
5
RMBS
5
SIFIs
5
Startups
5
Transaction-Based Compensation
5
UCITS
4
Administrative Appointments
4
Algorithmic Trading
4
Alternative Mutual Funds
4
Australian Securities and Investments Commission
4
Bad Actors
4
Bonds
4
Bribery
4
Broken Windows
4
Canadian Securities Administration
4
CEA
4
CEOs
4
Charles Schwab
4
CME
4
Community Banks
4
Corporate Officers
4
Creditors
4
Customer Funds Protection
4
Cyber Insurance
4
D&O Insurance
4
Debt
4
Defined Benefit Plans
4
Distribution Rules
4
EBA
4
EDGAR
4
Emerging Growth Companies
4
Equity Securities
4
Exceptions
4
Failure To Disclose
4
Family Offices
4
FASB
4
FCRA
4
Final Guidance
4
Financial Reporting
4
Financial Services Authority
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
Insurance Litigation
4
Interest Rates
4
Internal Investigations
4
IPO
4
ISS
4
Libor
4
Limited Partnerships
4
Material Misstatements
4
Mergers
4
Merrill Lynch
4
Motion to Dismiss
4
NAV
4
Negligence
4
OIG
4
Pending Legislation
4
Performance Fee Rule
4
Policy Exclusions
4
Portfolio Companies
4
PRA
4
Private Offerings
4
Private Placements
4
RAUM
4
Red Flags Rule
4
Regulatory Agenda
4
Regulatory Standards
4
Risk Mitigation
4
Rule 506(c)
4
SBIC
4
Section 10(b)
4
Security and Privacy Controls
4
Shareholder Proposals
4
Third-Party Risk
4
Time Extensions
4
Tippees
4
Trusts
4
Variable Annuities
4
Vendors
4
Verification Requirements
4
Waivers
4
Wire Fraud
3
12b-1 plan
3
Amended Regulation
3
Appointments Clause
3
Avon
3
Background Checks
3
Basel Committee
3
Beneficial Owner
3
BlackRock
3
Breach of Contract
3
BrokerCheck
3
Business Advice
3
C&DIs
3
Campaign Contributions
3
Capital Formation
3
Capital Requirements
3
Chevron Deference
3
Citigroup
3
Clearing Agents
3
Collateralized Debt Obligations
3
Collateralized Loan Obligations
3
Commercial Bankruptcy
3
Commercial General Liability Policies
3
Commodities Exchange Act
3
Commodity Broker
3
Commodity Futures Contracts
3
Compensation Committee
3
Consultants
3
Continuity of Enterprises
3
Corporate Taxes
3
Credit Suisse
3
Data Breach Plans
3
Debt Securities
3
Debtors
3
Deferred Prosecution Agreements
3
Derivative Suit
3
Discovery Rule
3
Disruptive Trading Practices
3
Diversity
3
DMO
3
Due Process
3
Duty of Care
3
Duty of Loyalty
3
Exclusions
3
False Claims Act (FCA)
3
Fee Disclosure
3
FHFA
3
Fifth Amendment
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 N-SAR
3
Forum Selection
3
Gifts
3
Guilty Pleas
3
IFRS
3
Illegal Tipping
3
Independence Rules
3
Injunctive Relief
3
Institutional Investors
3
Intermediaries
3
Internet
3
Internet of Things
3
Investigations
3
Investment Advisory Agreements
3
Japan
3
KBR (formerly Kellogg Brown & Root)
3
Legislative Agendas
3
Lehman Brothers
3
Major Swap Participants
3
Margin Requirements
3
Misallocation of Funds
3
Misleading Statements
3
Mortgage-Backed Securities
3
Municipal Securities Issuers
3
Municipal Securities Market
3
NASAA
3
New Legislation
3
New Regulations
3
Non-GAAP Financial Measures
3
Notice Requirements
3
Offshore Funds
3
Oil & Gas
3
OSHA
3
OTC
3
Personal Benefit
3
Policy Violations
3
Pooled Investment Vehicles
3
Preemption
3
Presidential Elections
3
Prohibited Transactions
3
Proxy Solicitations
3
Proxy Statements
3
Puerto Rico
3
Pyramid Schemes
3
Qui Tam
3
Ranieri Partners
3
Real Estate Investments
3
Registered Investment Companies (RICs)
3
Regulation FD
3
Regulation S-K
3
Regulation S-X
3
REIT
3
Related Parties
3
RICO
3
Ring-Fencing
3
Rule 204-2
3
Rule G-37
3
Rulemaking Process
3
Scienter
3
Section 10(b)-5
3
Section 36(b)
3
Security Risk Assessments
3
Service Agreements
3
Singapore
3
Small Business
3
Solicitor General
3
Spoofing
3
Standing
3
Suitability Rule
3
Summary Judgment
3
Tax Evasion
3
Tax Returns
3
Threshold Requirements
3
Tibble v Edison Int
3
Training Requirements
3
Transaction Fees
3
U.S. Commerce Department
3
Underwriting
3
Yates Memorandum
2
Aiding and Abetting
2
Allocation of Funds
2
Amended Legislation
2
Analytics
2
Angel Investors
2
Annual Reports
2
Annuities
2
Anti-Bribery
2
Arbitration Agreements
2
Asia
2
Bank Holding Company Act
2
Bank of England
2
Barclays
2
Bebo v SEC
2
Board of Trustees
2
Breach Notification Rule
2
Brokerage Accounts
2
BRRD
2
Business Taxes
2
CCO
2
CCPs
2
Cherry Picking
2
Class Action Arbitration Waivers
2
Class Certification
2
Clawbacks
2
Client Data
2
CMBS
2
Collateral Estoppel
2
Comptroller
2
Congressional Investigations & Hearings
2
Consent Order
2
Consultation
2
Consumer Financial Products
2
Consumer Lenders
2
Corporate Culture
2
Corporate Issuers
2
Credit Cards
2
Credit Monitoring
2
Criminal Conspiracy
2
Customer Due Diligence (CDD)
2
Data Use Policies
2
Deadlines
2
Department of Business Oversight
2
Discovery
2
Disqualification
2
Dividends
2
Donald Trump
2
Duty of Prudence
2
Duty to Monitor
2
Electronic Reporting
2
Employment Contract
2
Enforcement Statistics
2
Equal Protection
2
Escrow Accounts
2
Established Business Relationship
2
Estate Tax
2
EU Directive
2
European Banking Authority
2
European Central Bank
2
European Court of Justice (ECJ)
2
Exemptive Relief
2
Export Controls
2
Expungement
2
Facebook
2
Fair Market Value
2
Falsified Documents
2
Fannie Mae
2
FBI
2
FCC
2
Federal Aviation Administration (FAA)
2
Federal Budget
2
Federal Register
2
Flash Boys
2
Foreclosure
2
Foreign Affiliates
2
Form BE-10
2
Form D Filing
2
Fraudulent Concealment
2
Freddie Mac
2
Fund Expenses
2
GAO
2
Gartenberg Factors
2
Government Entities
2
Halliburton v Erica P. John Fund
2
Health Savings Accounts
2
HHS
2
High Net-Worth
2
HIPAA
2
Hiring & Firing
2
Hong Kong Securities and Futures Commission (HKSFC)
2
HSBC
2
Hurricane Sandy
2
Independent Directors
2
Indictments
2
Individual Accountability
2
Inflation Adjustments
2
Innovation
2
Insurance Brokers
2
Intergovernmental Agreements
2
Internet Service Providers (ISPs)
2
Interpretive Letters
2
Investment Banks
2
Jury Trial
2
Lawson v FMR
2
Lenders
2
Lending
2
Licensing Rules
2
LiquidAlts
2
Liquidity Fees
2
Liquidity Risk Management Rule
2
Living Will
2
London Stock Exchange
2
Loss Causation
2
Mandatory Clearing Requirements
2
Meals-Gifts-and Entertainment Rules
2
Medical Marijuana
2
Member State
2
Minimum Salary
2
Mortgage Lenders
2
Mortgages
2
Multinationals
2
NAIC
2
NASD
2
National Bank Act
2
National Private Placement Regimes (NPPR)
2
Non-Public Information
2
NRSRO
2
NYDFS
2
Obama Administration
2
OCR
2
Offering Fraud
2
OMB
2
Outsourcing
2
Over-Time
2
Partnerships
2
Patent Litigation
2
Patents
2
Pay or Play
2
Pay-for-Performance
2
Payment Systems
2
Permanent Injunctions
2
Preliminary Injunctions
2
Principal Transaction Exemption
2
Prioritized Examination
2
Privacy Concerns
2
Private Right of Action
2
Professional Liability
2
Proposed Rules
2
Proprietary Trading
2
Prospectus
2
Public Disclosure
2
Redemption Gates
2
Registered Funds
2
Registration Statement
2
Regulation M
2
Reimbursements
2
Remuneration
2
Renewal Fees
2
Retail Investors
2
Retroactivity
2
Revenue Sharing
2
RICs
2
Rule 105
2
Rule 506
2
Scams
2
Schedule 13D
2
SDN List
2
SEC Commissioner
2
Section 15(c)
2
Securities Act
2
Securities Dealers
2
Securities Regulation
2
Security Audits
2
Self-Employment Tax
2
Settlement Agreements
2
SFO
2
SLUSA
2
SMAs
2
Social Media Policy
2
Standard of Care
2
Stark Law
2
State and Local Government
2
Stock Drop Litigation
2
Stock Repurchases
2
Strict Liability
2
Structured Financial Products
2
Subject Matter Jurisdiction
2
Supervision
2
Swiss Banks
2
Tax Liability
2
Tax Reform
2
Tax Refunds
2
Terrorism Funding
2
Third-Party Relationships
2
Twitter
2
UBS
2
Unregistered Securities
2
US Bank
2
Virtual Currency
2
VPPA
2
Wage and Hour
2
Websites
2
Wells Fargo
2
Wells Notice
2
Whistleblower Protection Policies
2
White-Collar Exemptions
2
Workplace Injury
2
Year-End Planning
2
Young Lawyers
1
21st Century Cures Initiative
1
Accounting Controls
1
Accounting Fraud
1
Acquisition Agreements
1
Actual or Constructive Knowledge
1
Administrative Authority
1
Administrative Exemption
1
Administrative Interpretation
1
Admissions
1
Adobe
1
Aereo
1
Affiliated-Business Arrangements
1
Affordable Care Act
1
Aggregation Rules
1
Agricultural Land
1
AIF
1
AIFS
1
AirBnB
1
Akamai Technologies
1
AL Supreme Court
1
Alstom
1
Alternative Fee Arrangements
1
Alternative Investment Fund Managers Directive
1
Alternative Trading Systems
1
American Bar Association (ABA)
1
American Taxpayer Relief Act
1
Ameriprise Financial
1
Amgen Inc. v Connecticut Retirement Plans
1
Amount in Controversy
1
Annual Filings
1
Annual Meeting
1
Anthem Blue Cross
1
Anti-Avoidance
1
Anti-Terrorism Financing
1
APIs
1
Appearance Policy
1
Appropriations Bill
1
Arbitrage
1
Arbitration Awards
1
Arms Length Transactions
1
Article II
1
Article III
1
Asbestos
1
Asbestos Litigation
1
Asia Pacific
1
Asset Freeze
1
Asset Protection
1
Asset Seizure
1
Asset Stripping
1
Assignments
1
AT&T Mobility
1
ATS
1
Attorney-Client Privilege
1
Australian Stock Exchange
1
Automobile Recall
1
Automotive Industry
1
Aviation Industry
1
AXA Equitable Life
1
BaFin
1
Bank Fraud
1
Bank of America
1
Banking Examinations
1
Barack Obama
1
Basel III
1
Benchmarking
1
Beneficiaries
1
Bermuda
1
Bernie Madoff
1
Best Management Practices
1
Bid Rigging
1
Big Data
1
Bilateral Agreements
1
Biofuel
1
BitLicense
1
Block Chain
1
BNP Paribas
1
Board Deferance
1
Brazil
1
Broadband
1
Burden of Proof
1
Bureau of Economic Analysis
1
Burwell v Hobby Lobby
1
Business Assets
1
Business Associates
1
Business Development
1
Business Disruption
1
Business Entities
1
Business Interruption
1
Business Judgment Rule
1
Business Litigation
1
Business Plans
1
Business Valuations
1
CAFA
1
CalPERS
1
CalSTRS
1
Canada Revenue Agency (CRA)
1
Capital Losses
1
Capital Raising
1
Capital Rules
1
Captive Insurance Company
1
CARDS
1
Carried Interest
1
Carried Interest Tax Rates
1
Cause of Action Accrual
1
Cayman Islands
1
CDIs
1
Census
1
Central Counterparties
1
Certifications
1
Certiorari
1
Chamber of Commerce
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
1
Closed-End Funds
1
Closely Held Businesses
1
CME NYMEX
1
CMOs
1
CMS
1
CNIL
1
Coal Industry
1
CoC
1
Code of Conduct
1
Collective Bargaining Agreements (CBA)
1
Comcast
1
Commercial Insurance Policies
1
Commodity Interest
1
Compensation
1
Compensation Schemes
1
Compensation Standards
1
Compensatory Damages
1
Complaint Procedures
1
Conditional Gifts
1
Confidentiality Agreements
1
Conflict Mineral Rules
1
Conspiracies
1
Constitutional Challenges
1
Construction Contracts
1
Consumer Bankruptcy
1
Consumer Protection Act
1
Consumer Service Agreements
1
Contract Negotiations
1
Contract Renewal
1
Contract Waiver
1
Contractors
1
Controlled Groups
1
Controlling Stockholders
1
Convertible Debt
1
Cooperation
1
Cooperative Compliance Regime
1
Copyright
1
Corporate Criminal Fines
1
Corporate Fines
1
Corporate Securities Act
1
Corruption
1
Cost Allocation
1
Counterparties
1
Counterparty Risk
1
Covenant of Good Faith and Fair Dealing
1
Covered Banking Entity
1
Covered Funds
1
Covered Transactions
1
CRD IV Directive
1
Credit Checks
1
Credit Default Swaps
1
Credit Ratings
1
Credit Reporting Agencies
1
Criminal Background Checks
1
Criminal Investigations
1
Criminal Penalties
1
CSRC
1
Cuba
1
Cuban Assets Control Regulations (CACR)
1
Custody
1
Customer Funds
1
Customer Lists
1
Customer Service Standard
1
Cyberforensics
1
Cybersecurity Examination Initiative
1
Cybersecurity Framework
1
Damages
1
Dart Cherokee Basin Operating Co. v. Owens
1
Data Brokers
1
Data Security Act
1
DE Supreme Court
1
Debit Cards
1
Debt Buyers
1
Debt Collection
1
Decanting
1
Declaratory Relief
1
Deductions
1
Deferred Compensation
1
Delaware General Corporation Law
1
Delegation Doctrine
1
Dell
1
Demand Futility
1
Department of Corporations
1
Department of Financial Services
1
Deposit Advances
1
Deposit Insurance
1
Depository Institutions
1
Derivatives Clearing Organizations
1
Deutsche Bank
1
Digital Advertising Alliance
1
Digital Assets
1
Digital Securities
1
Digital Services
1
Disaster Aid
1
Disaster Preparedness
1
Dischargeable Debts
1
Disciplinary Proceedings
1
Dismissal With Prejudice
1
Dispute Resolution
1
Distressed Debt
1
Distributed Denial of Service
1
Distributors
1
Divestment
1
Division of Economic and Risk Analysis (DERA)
1
DMCA
1
Documentation
1
Dow Jones
1
DSUEA
1
Duty to Defend
1
Duty to Disclose
1
Duty To Notify