RCW Staff
No-Action Letter: Kohlberg Capital Corporation (March 12, 2009) Investment Company Act of 1940 – Section 23(b) and 63 Kohlberg Capital Corporation March 12, 2009 RESPONSE ...
No-Action Letter: Investment Company Institute (March 12, 2009) Investment Company Act – Sections 2(a)(3)(A), 2(a)(3)(C), 2(a)(9), 18(a)(2)(C), 18(a)(2)(D) Investment Company Institute March 12, 2009 RESPONSE ...
March 10, 2009 court document from federal prosecutors laying out case against Bernard Madoff.
If you get a call from someone purporting to be an SEC examiner asking for documents for an "emergency" exam, ask for the caller's name, ...
You're encouraged - if you don't have one already - to come up with a written definition for risk that can be used across the ...
That recent no-action letter from the SEC loosening restraints on past-specific recommendations revolved around how to present your data (IA Week, Dec. 1, 2008). The ...
Scenario: Say your firm resides in Pennsylvania and one of your best clients moves to Massachusetts. Well, you better know about and comply with Massachusetts' ...
Future financial debacles could be avoided if Congress creates a "systemic risk regulator" and combines the SEC and the CFTC into a new "capital markets ...
Congress may wish to authorize a new financial regulator to oversee systemic risk but it won't act with haste. "We've got to take our time. ...
Try this the next time you hold a session to remind staff of your firm's gifts and entertainment policy: Keep it short and fill the ...