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IA
4/20/2017
If beauty is in the eye of the beholder, then deciding what qualifies as a material change lies in the hands of the Form ADV brochure writer.   Now th...
BD
4/20/2017
What does FINRA say about accepting sponsor payments for firm conferences? Are payments subject to dollar limits? Is there a disclosure requirement? I...
PF
4/20/2017
Next Tuesday, George Palathinkal should learn how much time he may have to spend behind bars. The 55-year-old former CFO of an investment adviser lied...
Latest News
4/20/2017 | Content areas: CPO/CTA

“Substituted compliance” is the phrase the CFTC uses to allow registrants to comply with its rules by satisfying another regulators’. But the Commissi...

4/20/2017 | Content areas: Investment Adviser | Broker-Dealer

For some industry heavy hitters, the 60-day delay of the DOL’s fiduciary duty rule implementation is simply not enough (IA Watch, April 5, 2017). The ...

4/20/2017 | Content areas: Investment Adviser

It took a jury five days in 2014 to decide that Charles Kokesh committed securities fraud by stealing tens of millions of dollars at two investment ad...

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