RCW Staff
California always has to be first. A federal judge there Dec. 28 issued an opinion in a lawsuit that claimed a mutual fund violated its ...
Within the next month, Carlo di Florio, a partner with PricewaterhouseCoopers in New York, will assume the top chair within the SEC's Office of Compliance ...
Make your first stop after the SEC's release of its custody rule be your client contract. Many contracts give the adviser a broad power-of-attorney, which ...
Some of you may have received a special Christmas gift from the SEC's Chicago Regional Office: A two-page letter that asks for numerous documents designed ...
Sometime in March, the SEC's revised custody rule will likely take effect, ticking the clock toward aggressive deadlines for those firms that will need to ...
The final rule revising the Advisers Act to provide guidance to accountants who will conduct surprise exams and internal control reports in connection with the ...
The final rule revising the Advisers Act custody rule, released January 11, 2010 and taking effect March 12, 2010.
The January 11, 2010 issue of IA Week Online.
A copy of a December 2009 letter from the SEC Chicago Regional Office alerting an adviser that it could be subject to an exam and ...
Analysts predicted earlier this year that an uphill battle awaited a retiree who lost nearly her entire life savings to Bernard L. Madoff Investment Securities ...