Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...
The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
Much resides on the plate of the SEC but here's another sign that the whole issue of harmonizing investment adviser and broker-dealer regulation is heating ...
It appears more likely that whatever regulatory reform package emerges from Congress that it may well erase the distinctions between IAs and broker-dealers.Last Thursday the ...
Firms that engage in retail foreign exchange activities, supervision procedures that promote good compliance, sales practices to seniors, anti-money laundering efforts and other examination topics ...
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 ...
More than 13,000 names make up the list of supposed clients of Bernie Madoff, including several registered investment advisers.Many tell IA Week it's because they ...