investment adviser due diligence
Tag Archive

  • SEC Issues Risk Alert to Investment Advisory Firms

    February 4, 2014 Comments (0) Blog, Securities Fraud

    According to the Securities and Exchange Commission, the Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk Alert on the due diligence process used by investment advisers when recommending alternative investments to clients. Alternative investments include such products as hedge funds,

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  • FINRA Improves BrokerCheck

    November 22, 2013 Comments (0) Blog, Securities Fraud

    On November 12, 2013 the Financial Industry Regulatory Authority (FINRA) launched its new enhanced version of BrokerCheck, an online tool that allows you to review the background of your investment professional. Work history, registration status, and disciplinary records can all be found using BrokerCheck. The new

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