9/06/2018 | Content area:
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
2/28/2018 | Content area:
The complaint alleged Lumiere took a series of steps to inflate falsely the value of securities held by the Credit Fund resulting in the fund: (a) rep...
4/21/2016 | Content area:
Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus ...
3/10/2016 | Content area:
Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen ...
2/26/2015 | Content area:
Investment Adviser | Private Fund
This is a speech that the SEC's Julie Riewe, co-chief of the Enforcement Division's Asset Management Unit, gave at an IA Watch conference in Washingto...
2/10/2015 | Content area:
SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme
1/15/2015 | Content area:
(a) Prohibition. Except as otherwise provided in this subpart, a banking entity may not engage in proprietary trading. Proprietary trading means engag...
1/15/2015 | Content area:
(a) No transaction, class of transactions, or activity may be deemed permissible under §§75.4 through 75.6 if the transaction, class of transactions, ...
7/21/2014 | Content area:
The small Midwest adviser had never been examined by the SEC, until recently."I was absolutely terrified," says the CCO, who also wears other hats wit...
6/05/2014 | Content area:
The SEC prosecuted an alleged “cherry-picking” scheme that garnered nearly $2 million in illicit profits.
6/02/2014 | Content area:
This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that hav...
4/28/2014 | Content area:
IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One docum...
1/31/2014 | Content area:
This is a 2014 rule from the CFTC related to the Volcker Rule. It's entitled Prohibitions and Restrictions on Proprietary Trading and Certain Interest...
1/13/2014 | Content area:
OCIE has released its 2014 list of exam priorities, with five new areas examiners will be asking investment advisers about this year. These include wh...
12/02/2013 | Content area:
The recent embarrassment of an SEC examiner being charged with violating the agency's rules on personal trading (IA Watch, Nov. 25, 2013) won't change...
10/23/2013 | Content area:
OX Trading provided price improvement by becoming the counterparty to certain customer orders of optionsXpress. As a result of taking the customers’ t...
9/05/2013 | Content area:
Kugel worked for Bernie Madoff, handling the firm's proprietary trading and market-making operations as well as administering the firm's health and re...
2/25/2013 | Content area:
Long before there even was a Wall Street, Cassius mouthed the words of Shakespeare that the fault lies not in the stars "but in ourselves." A new book...
3/27/2012 | Content area:
This is a sample risk assessment that covers nearly 50 potential conflicts and compliance topics.
9/11/2009 | Content area:
A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.