RCW Staff
So you want to do business in Europe? It's a trend for investment advisers to pursue new business around the globe. But know the hurdles ...
Reports indicate RIA Pacific Corporate Group of La Jolla, Calif., helped steer California Public Employees' Retirement System (CalPERS) toward investing in two private equity funds ...
Two unidentified regional SEC attorneys in the Enforcement Division eagerly await a report coming from SEC Inspector General David Kotz (IA Watch, Dec. 7, 2009). ...
The SEC treats larger brokerage firms that get into trouble better than smaller firms, says a Harvard fellow who has investigated nearly four years of ...
Videos, password-protected views of current holdings, customized client pages, tax and college calculators and targeted articles. These are among the innovations your peers are introducing ...
Financial regulatory reform from Congress tops the list of predictions for your New Year. As one compliance officer in New York put it, whatever lawmakers ...
Your January 4, 2010 issue of IA Week online.
IA Watch makes available our 2010 Compliance Calendar to our subscribers. Download it to your current calendar application. And it's easy to do, simply follow ...
This the rule the SEC put out in late December 2009, just before its principal trade exception for broker-dealers was about to expire. The rule ...
The final rule completes one of the long-awaited changes from the Gramm-Leach-Bliley Act – a model privacy form for firms to share with clients. You ...