RCW Staff
Mutual fund boards are being urged to ask their principal investment adviser many questions about any fund subadvisers, including whether the fund's CCO has reviewed ...
In a blow to the SEC's effort to clean up Madoff-related messes, a federal judge last week dismissed the most serious securities fraud charges against ...
The institution survived the Great Depression but couldn't overcome a deceptive rep who killed himself as authorities closed in on him. Now the whole sordid ...
You face options in how to respond to the SEC's new exam maneuver of reaching out to advisory firm clients to ask them about their ...
Peel back the glossy cover of the President's FY 2011 budget and you'll find evidence that the Administration wants more money for the SEC to ...
This year may pose a few additional hassles for firms with a fiscal year that matches the calendar as they prepare to file their Form ...
The February 8, 2010 issue of IA Week Online.
An example of elements to fold into subadviser agreements from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.
A sample compliance questionnaire for a subadviser from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.
A sample compliance certification for a subadviser relationship from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.