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Investment adviser
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Seven hard truths every new Chief Compliance Officer must face
Practical tips to help you stay steady in the storm.
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Your essential guide to the dos and don’ts of Form ADV
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
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UBS held liable for losses stemming from Tesla short-selling recommendations
Independent arbitration panel awards $92.2m in damages to investors.
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Technology key for both advisers and investors according to Avaloq report
Findings highlight opportunities and challenges abound in a rapidly evolving ecosystem.
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SIFMA Annual 2024: Penny Pennington on the future of financial advice
The first in a series of reports on keynote speeches at the SIFMA Annual in New York.
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Activist investor Macellum Advisors hit with $75k penalty for failing to disclose third-party payments
The firm was accused by the SEC of failing to disclose potential conflicts of interest resulting from the fees it received from outside investors.
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Mock exams – your questions answered
The challenges and opportunities of preparing for a mock SEC examination.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.