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Supervision (7)
Your search for Supervision returned 7 results.
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5/23/2019 | Content area: Investment Adviser
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered I...
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
2/15/2018 | Content area: Investment Adviser | Broker-Dealer
Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled a...
9/15/2016 | Content area: Investment Adviser
Initially signaled back in January in its 2016 exam priorities letter, the SEC’s Office of Compliance Inspections and Examinations confirmed Sept.12 t...
6/09/2015 | Content area: Investment Adviser
More and more regulators are mandating that firms in trouble hire independent consultants to address supervisory and compliance shortcomings. IA Watch...
1/28/2013 | Content area: Investment Adviser
It's not just FINRA and the SEC targeting sales practices involving non-traded REITs. States can get in on the action, too, as shown by a complaint th...
10/12/2009 | Content area: Investment Adviser
While his brother Bernie languishes behind bars, Peter Madoff - the former CCO of Bernard L. Madoff Investment Securities (BMIS) - faces no criminal c...


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