RCW Staff
Struggles over estimating fair value of investments that calculate NAV have been well documented of late and now the American Institute of Certified Public Accountants ...
Data support a five-year "dramatic increase" in enforcement of Foreign Corrupt Practices Act cases, with both the SEC and the Justice Department prosecuting them.While the ...
Days before Laura Pendergest-Holt, CIO of the Stanford Financial Group, was to testify to the SEC, she met with Robert Allen Stanford and CFO James ...
Perhaps you remember the story after 9/11 about unknown investors who sold short U.S. airline stocks just before the terrorist attack. That story may have ...
You must engage in an annual review of "the adequacy" of your firm's compliance policies and procedures - but how you get there can vary ...
The questions keep coming about the SEC's new revisions to the custody rule, which goes into effect March 12 (IA Watch, Jan. 18, 2010). Here ...
Some suggest that a best practice would be to keep such logs in a WORM format - write once, read many - which doesn't allow ...
Click here to download a Word document of an annual review tool for RIA policies and procedures courtesy of Nancy Lininger at The Consortium in ...
The January 25, 2010 issue of IA Week Online.
This script may need a rewrite. Last week the SEC filed fraud charges against Steve Salutric, who runs RIA Results One in Elmhurst, Ill. It ...