RCW Staff
As the Financial Crisis Inquiry Commission begins work to analyze what set off the biggest economic meltdown since the Great Depression, it may wish to ...
You won't have to address this issue unless you're a very small investment adviser that works out of his home. The issue is one of ...
Just as Cinderella faced a midnight deadline, the SEC beat by just hours last week its time limit on the expiration of a long-standing no-action ...
The SEC's new custody rule revision calls on advisory firms to have a "reasonable belief" that a custodian sends account statements directly to clients. While ...
A window opened last week on more changes within the SEC's revamped Enforcement Division as Director Robert Khuzami named the heads of five new specialized ...
Shakespeare may have written "caviar to the general," but you may wish to try candy for the troops.As a compliance officer, Devin House always kept ...
Your January 18, 2010 issue of IA Week Online.
Compliance officers use this type of letter to request staff trading data from brokers
A former CCO at a Chicago RIA must pay penalties of more than $150,000 and is barred from the industry for helping her former boss ...
It's almost become a tradition, like a champagne toast on New Year's: The SEC releases a new no-action letter every couple of years that permits ...