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Disclosure Duty to Disclose

Broker-Dealer Compliance + Regulation

OCIE Gives Advisers a Heads-Up About Its Latest Sweep Examination Initiative

Last week, OCIE published a National Exam Program Risk Alert highlighting the staff’s focus on advisers’ responsibility to act consistently with their clients’ best interests. According to OCIE, its latest sweep examination,...more

Akerman LLP - HR Defense

Failure to Disclose Procedures Dooms Arbitration Agreement

Akerman LLP - HR Defense on

As a general rule, courts will uphold agreements that require employees to arbitrate their employment disputes. But an employer seeking to compel arbitration must show that the employee signed a valid written arbitration...more

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