Edition:
United States

Jason Wallace

Jeff Mason is a White House Correspondent for Reuters and the 2016-2017 president of the White House Correspondents’ Association. He was the lead Reuters correspondent for President Barack Obama's 2012 campaign and interviewed the president at the White House in 2015. Jeff has been based in Washington since 2008, when he covered the historic race between Obama, Hillary Clinton and John McCain. Jeff started his career in Frankfurt, Germany, where he covered the airline industry before moving to Brussels, Belgium, where he covered the European Union. He is a Colorado native, proud graduate of Northwestern University and former Fulbright scholar.

Twitter handle: @jeffmason1

Oct 05 2017

October brings increased performance record keeping requirements

NEW YORK (Thomson Reuters Regulatory Intelligence) - October brings changes to the amount of information investment advisers must disclose on the Form ADV, and it also brings a revision to record keeping requirements for advisers offering performance data for clients.

Aug 23 2017

U.S. advisers already prepping for proposed business continuity, transition rules

NEW YORK (Thomson Reuters Regulatory Intelligence) - Many investment advisers have already taken steps to comply with a 2016 Securities and Exchange Commission rule proposal(http://www.complinet.com/global-rulebooks/display/display.html?rbid=1153&element_id=77633) to enhance adviser written business continuity and transition plans, an industry survey found.

Jun 20 2017

Back to basics: vital elements of an adviser gift policy

NEW YORK (Thomson Reuters Regulatory Intelligence) - For investment advisers giving and receiving client gifts is a rather ordinary practice, but one that can greatly increase regulatory risk.

Jun 13 2017

SEC identifies adviser cyber security flaws

NEW YORK (Thomson Reuters Regulatory Intelligence) - In the wake of the recent WannaCry ransomware attack, the Securities and Exchange Commission's exam team is warning investment advisers that many are failing to perform steps critical to fighting cyber security attacks.

Jan 04 2017

Multi-branch independent advisers in exam crosshairs

SAN DIEGO (Thomson Reuters Regulatory Intelligence) - The U.S. Securities and Exchange Commission has announced an initiative to examine investment advisers operating multiple branch offices.

Oct 11 2016

IA Brief: If your program is a “wrap”, be prepared

Fortunately, a wrap fee program will protect a client from churning but could have the opposite effect, "reverse churning".

Dec 15 2015

IA Brief: Year-end chores list: do what you say

Reviewing the task and finding out why it hasn't been met in the timeframe selected by the firm can expose areas of risk.

Jan 23 2013

Fast-changing social media makes advisers scramble

Fast-changing features on social media sites are triggering a new wave of compliance challenges for financial advisers at a time when many are just becoming comfortable with the technology in the first place.

Jan 23 2013

Fast-changing social media makes advisers scramble

Fast-changing features on social media sites are triggering a new wave of compliance challenges for financial advisers at a time when many are just becoming comfortable with the technology in the first place.

Jan 23 2013

COMPLY-Fast-changing social media makes advisers scramble

Jan 23 Fast-changing features on social media sites are triggering a new wave of compliance challenges for financial advisers at a time when many are just becoming comfortable with the technology in the first place.

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