Advisers should put no price targets on an investment a client owns and give no forecasts of anticipated performance Advisers need to clearly distinguish between fact and opinion. When you meet with ...

The Securities and Exchange Commission’s Division of Examinations issued a risk alert highlighting investment advisers’ compliance issues with the agency’s updated marketing rule, a 2020 amendment to ...

Stock markets have gone in the opposite direction, driven by uncertainty about the war's future and its effects on the ...

The regulator stated that the circulars take effect immediately.

Years of Experience is the number of years an individual is registered as an investment advisor only, rather than combined years of experience as either an investment advisor or broker.

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

SEBI expanded audit eligibility to include cost accountants for Investment Advisers. The ruling broadens the professional ...

Sebi allows cost accountants to conduct compliance audits of investment advisers and research analysts, expanding the eligible auditor pool ...