You’re not alone if you’re confused about whether to proceed to comply with the Labor Department’s April 10th applicability date for its fiduciary duty rule ...
If you believe your CPO should be exempt from CFTC registration, the process begins by filing notice with the Commission (CPO/CTA Watch, May 28, 2012). ...
Raiding is one way to build your business—but it also has its downside. A FINRA arbitration panel in January ordered Robert W. Baird & Co. ...
Words are powerful. Take the custodian that, when notified that OCIE examiners were conducting an exam of an investment adviser, sent correspondence to the IA’s ...
Acing a test. Winning a game. Picking a great stock. Who’s beyond a little boasting when one succeeds? As tempting as this can ...
It’s going on three years since the SEC’s Enforcement Division filed charges claiming The Robare Group ($160M in AUM) in Houston failed to disclose revenue-sharing ...
It can be difficult shortly after New Year’s to think about next year but you should if the EU’s coming regulatory landscape, known as Markets ...
It’s difficult for regulators to keep up with change, especially in the information age. But CFTC commissioners have unanimously voted to propose updating its books ...
Even as a new Administration takes office that many believe will bury the Labor Department’s controversial fiduciary duty rule, the industry is poring over a ...
New items you’ll find in OCIE’s list of 2017 exam priorities include robo advisers, an expanded never-been-examined effort, money market fund advisers, “financial exploitation” of ...