Today’s current economic marketplace is dynamic. Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification. Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).
Michelle L. Jacko and Kris Gruben wrote the article titled Practical Tips for an Investment Adviser Code of Ethics which was published in the Thomson Reuters Accelus November 2011 issue. … Read More
In late March, 2018, the Certified Financial Planner (CFP) Board of Standards announced the unanimous approval of a new Code of Ethics and Standards of Conduct.
This replaces the current Code of Ethics, Rules of Conduct, and Financial Planning Practice Standards and Terminology for all CFP-licensed professionals.
On Wednesday, New York’s highest court rejected a claim by the former Chief Compliance Officer of Peconic Partners, LLC – a New York based hedge fund – that he was wrongfully terminated for confronting the fund’s majority owner, CEO and…