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IA SRO (61)
Your search for IA SRO returned 61 results.
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3/19/2015 | Content area: Investment Adviser | Private Fund
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of third-party compliance ...
1/02/2015 | Content area: Investment Adviser
SEC Chair Mary Jo White has asked Commission staff to conduct an evaluation of the concept of permitting third party audits or compliance reviews of i...
12/04/2014 | Content area: Investment Adviser
Forget about user fees to pay for more investment adviser exams – at least for now. A recent letter from House Republicans to SEC Chair Mary Jo White ...
8/19/2014 | Content area: Investment Adviser
While most investment advisers are trustworthy and honest, I have personally prosecuted one who stole more than $7 million from his clients.[6] In th...
7/07/2014 | Content area: Investment Adviser
Should another Madoff crime occur, Congress can't say it wasn't warned. Last week, the SEC's new Office of the Investor Advocate came out for addition...
6/02/2014 | Content area: Investment Adviser
As the saying goes, everything old is new again. That suggestion last month from SEC Commissioner Daniel Gallagher to permit private third parties to ...
5/26/2014 | Content area: Investment Adviser
Last week, SEC Commissioner Daniel Gallagher said he would recommend a rule that would allow for independent third-parties to examine advisory firms. ...
5/13/2013 | Content area: Investment Adviser
The question had to be asked. With Carlo di Florio, who headed up the SEC's exam program for investment advisers and investment companies for three ye...
4/29/2013 | Content area: Investment Adviser
If at first you don't succeed .... That adage comes to mind now that Rep. Maxine Waters (D-Calif.) has resubmitted her Investment Adviser Examination ...
4/22/2013 | Content area: Investment Adviser
Again last week the issue of the dearth in exams of investment advisory firms came up, with SEC Commissioner Elisse Walter calling for a solution now ...
4/22/2013 | Content area: Investment Adviser
This is the text to H.R. 1627, the Investment Adviser Examination Improvement Act of 2013. This bill, sponsored by Rep. Maxine Waters (D-Calif.), woul...
2/11/2013 | Content area: Investment Adviser
A report that FINRA CEO Rick Ketchum is raising the white flag on the SRO's quest to be the overseer of investment advisers - at least in this Congres...
10/15/2012 | Content area: Investment Adviser
Opponents of an SRO for investment advisers - especially if it were FINRA - will embrace even a semblance of support for their view. Take the speech e...
7/30/2012 | Content area: Investment Adviser
Rep. Maxine Waters (D-Calif.) promised to produce a bill (IA Watch, May 14, 2012) to counter calls for an SRO for advisers and last week she delivered...
7/25/2012 | Content area: Investment Adviser
This is a bill, introduced in July 2012 by Rep. Maxine Waters (D-Calif.), that would allow the SEC to charge user fees of investment advisers to pay f...
6/18/2012 | Content area: Investment Adviser
Opponents of an SRO for investment advisers may take it as a hopeful sign that the House Financial Services Committee hasn't scheduled a markup of the...
6/04/2012 | Content area: Investment Adviser
As we went to press, the House Financial Services Committee hadn't yet announced its witness list for its June 6th hearing into the IA SRO bill, H.R. ...
5/28/2012 | Content area: Investment Adviser
The House Financial Services Committee has announced a hearing into its chairman's bill that would give the SEC the right to create an SRO for investm...
5/21/2012 | Content area: Investment Adviser
It almost recalls an era when doctors made house-calls and public phones dotted the landscape. Susan John, president of Financial Focus ($148M in AUM)...
5/14/2012 | Content area: Investment Adviser
Depending on how the political winds blow this November, Rep. Maxine Waters (D-Calif.) could find herself chair of the House Financial Services Commit...


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