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Regulators (11)
Your search for Regulators returned 11 results.
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4/04/2019 | Content area: Investment Adviser
Should your firm do business in Germany, know that the regulator there, BaFIN, is fining U.S.-based advisers that fail to file required disclosures on...
1/25/2018 | Content area: Investment Adviser | CPO/CTA
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sough...
9/01/2016 | Content area: Investment Adviser
Back in May, when the Consumer Financial Protection Board proposed a rule governing arbitration agreements, you may have paused to wonder if you would...
3/28/2016 | Content area: Investment Adviser
If you work at a firm that’s dual- or even tri-registered, you know the hassles of having to report to more than one regulator. A new GAO report recom...
1/02/2015 | Content area: Investment Adviser
Whatever the Financial Stability Oversight Council’s next move is toward regulating asset managers, it will be aided by comments from the industry, sa...
1/02/2015 | Content area: Investment Adviser
It’s permissible for “non-key employees” of family office advisers to engage in “purely administrative duties,” such as preparing and filing taxes for...
11/20/2014 | Content area: Investment Adviser
The results aren’t particularly surprising but surely can’t be ignored any longer. A PricewaterhouseCoopers survey of more than 750 money managers, ba...
1/09/2012 | Content area: Investment Adviser
Recently we alerted you to the difficulty in defining an independent contractor (IA Watch, Nov. 28, 2011). A CCO peer urges we now warn you not to for...
7/06/2009 | Content area: Investment Adviser
The growth of "global money managers" has increased cooperation internationally among regulators. The SEC has entered into agreements for greater supe...
3/23/2009 | Content area: Investment Adviser
So whatever happened to the SEC's Form ADV, Part 2 proposal (IA Week, Dec. 15, 2008)? It rests "high on the agenda for this year," according to Andrew...
2/09/2009 | Content area: Investment Adviser
The man who spent nearly a decade tipping off the SEC to his belief that Bernie Madoff ran the world's largest Ponzi scheme surfaced last week before ...


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