AIMR/CFA Institute

SECs Philly Office Launches Performance Advertising Sweep

The SECs Philadelphia District office has launched a mini-sweep focusing on advisers use of performance advertising. The August 3 sweep letter asks for all marketing materials containing performance information sent to current, former, and prospective clients during 2001, 2002, and 2003. It also asks for third-party questionnaire responses submitted during that period, RFP responses during 2003, […]

CFA Institute Seeks Comments

The CFA Institute (formerly known as AIMR) is looking for comments on its proposed changes to its code of ethics and standards of professional conduct. The comment period ends July 31. The group also is seeking comments on its proposal to modify the GIPS standards. That comment period ends August 1.

Audio Interviews

How to Read an SEC Enforcement Action

Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.

Most Important Supreme Court Decisions for Advisers and Funds

Find out the high court decisions from recent years that are likely to affect how advisers and investment companies work from Debevoise partner Robert Kaplan. 

Top 10 Cybersecurity Steps to Take Now

Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.

Top Marketing Problems … and Solutions

Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly

Watch Out for 5 Cybersecurity Myths

ACA Aponix Director Pascal Busnel on the most common cybersecurity myths that may cause firms to spend resources where they may not be needed.

The Hidden Costs of Non-Compliance

Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.

CCO Liability: How to Protect Yourself

Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.

Ethics or Compliance: Making the Choice

Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.