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Third-Party Exams of IAs (11)
Your search for Third-Party Exams of IAs returned 11 results.
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8/10/2017 | Content area: Investment Adviser
Your most talented trader orders a block of bonds but what comes back fails to fill the entire allocation. What do you do?   Many of your peers answer...
12/29/2015 | Content area: Investment Adviser
Some prognosticate that 2016 will be lighter than usual when it comes to new regulations, as Congress and the Administration hunker down prior to the ...
11/18/2015 | Content area: Investment Adviser
Today, SEC Chair Mary Jo White, in addressing Congress, stated that staff are “preparing a recommendation to the Commission for proposed rules requiri...
10/29/2015 | Content area: Investment Adviser
The SEC’s Division of Investment Management and the Office of Compliance Inspections and Examinations are actively developing a recommendation that wo...
8/04/2015 | Content area: Investment Adviser | Broker-Dealer
During my tenure I have repeatedly called on the Commission to tread carefully when bringing enforcement actions against compliance personnel, who are...
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 ...
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...
6/09/2014 | Content area: Investment Adviser
That suggestion by SEC Commissioner Daniel Gallagher that the agency at least study the use of third party auditors to conduct adviser exams would hav...
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 ...
5/09/2014 | Content area: Investment Adviser | Broker-Dealer
Remarks at the 46th Annual Rocky Mountain Securities Conference Commissioner Daniel M. Gallagher Denver, CO May 9, 2014 Thank you, Julie [Lutz], ...
10/27/2011 | Content area: Investment Adviser
This is a 2011 study commissioned by TD Ameritrade and conducted by Georgetown University business professor James Angel on IA regulation and the SRO ...

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