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On August 14, 2018, the SEC settled an enforcement action involving a Registered Investment Adviser (“RIA”) that failed to inform clients about the costs arising from trading in wrap accounts. When clients enter into wrap fee arrangements, they pay one…
Read MoreThe SEC’s 2018 National Exam Priorities[i] clearly lays out five principals guiding the Office of Compliance Inspections and Examinations (OCIE). Three of those five are centered heavily around technology and the data driven approach to examination efforts. The Commission’s advances…
Read MoreCaptain Obvious is a fictional character in commercials who is portrayed as a being a tall and thin sea captain with a beard. It should not take Captain Obvious to warn Registered Investment Advisers (“RIAs”) about their duty to return…
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