Violation of Regulations by Registered Investment Advisers and Their Consequences—Some Case Studies on Learn with Akhilesh Gururani /tags/violation-of-regulations-by-registered-investment-advisers-and-their-consequencessome-case-studies/ Recent content in Violation of Regulations by Registered Investment Advisers and Their Consequences—Some Case Studies on Learn with Akhilesh Gururani Learn with Akhilesh Gururani /images/papermod-cover.png /images/papermod-cover.png Hugo -- 0.147.7 en 2026 Learn with Akhilesh Gururani Sun, 07 Jun 2026 00:00:00 +0000 Defining the Scope: When Does Professional Advice Trigger Registration? /posts/investment-adviser1-s18-9-q04-defining-the-scope-of-investment-advisory-activities/ Sun, 07 Jun 2026 00:00:00 +0000 /posts/investment-adviser1-s18-9-q04-defining-the-scope-of-investment-advisory-activities/ Defining the scope of investment advisory activities. Companion read for Section 18.9 — Violation of Regulations by Registered Investment Advisers and their consequences—Some Case Studies. Regulatory Oversight: The Bedrock of Investor Safety and Market Integrity /posts/investment-adviser1-s18-9-q01-impact-of-regulatory-oversight-on-investor-safety/ Sun, 07 Jun 2026 00:00:00 +0000 /posts/investment-adviser1-s18-9-q01-impact-of-regulatory-oversight-on-investor-safety/ Impact of regulatory oversight on investor safety. Companion read for Section 18.9 — Violation of Regulations by Registered Investment Advisers and their consequences—Some Case Studies. The Ethical Boundaries of Financial Communication and Performance Claims /posts/investment-adviser1-s18-9-q03-ethics-in-financial-communication/ Sun, 07 Jun 2026 00:00:00 +0000 /posts/investment-adviser1-s18-9-q03-ethics-in-financial-communication/ Ethics in financial communication. Companion read for Section 18.9 — Violation of Regulations by Registered Investment Advisers and their consequences—Some Case Studies. The Irreparable Cost of Professional Fraud in Financial Licensing /posts/investment-adviser1-s18-9-q02-consequences-of-fraud-in-professional-licensing/ Sun, 07 Jun 2026 00:00:00 +0000 /posts/investment-adviser1-s18-9-q02-consequences-of-fraud-in-professional-licensing/ Consequences of fraud in professional licensing. Companion read for Section 18.9 — Violation of Regulations by Registered Investment Advisers and their consequences—Some Case Studies.