Investment Advisers, Misstatements and Conflicts
Investment advisers have a fiduciary duty to their clients under the statutes. This contrasts with the obligations of others such as corporate employees and even brokers and dealers. That duty is fundamental to the function of an investment advisory giving …
Investment Advisers, Misstatements and Conflicts
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Do You Need “Cooperation Credit”?
What happens when inappropriate, improper or illegal conduct is discovered at your company? A range of choices immediately loom. They run from nothing, to self-reporting to the authorities, to covering it up. SEC Enforcement Director Gurbir S. Grewal recently addressed …
Do You Need “Cooperation Credit”?
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