TOP STORIES
IA
5/25/2017
Two weeks and counting. While the Labor Department won’t delay further next month’s implementation by the industry of “impartial conduct standards” un...
CPO/CTA
5/25/2017
The January proposal from the CFTC to modernize its recordkeeping rule attracted only 16 comments, but some urged the Commission to mirror its rules o...
PF
5/25/2017
Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” due t...
Latest News
5/25/2017 | Content areas: Private Fund

Despite the multitude of lessons learned from the Bernie Madoff Ponzi scheme unearthed nine years ago, the SEC continues to bring Ponzi scheme charges...

5/25/2017 | Content areas: Investment Adviser

Years of wrangling over the constitutionality of the SEC’s ALJ setting appears to be coming to a head. Ten appeals court judges heard arguments May 24...

5/25/2017 | Content areas: CPO/CTA

With visions of boosting its analytics, monitoring of derivatives and exams, the CFTC has submitted a budget request to Congress that seeks an increas...

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