If the new guidance from the SEC’s Division of Investment Management on what constitutes custody deprives the industry of an outright victory, it at least ...
At the beginning of the year, FINRA signaled in its 2017 examination priorities letter that it has enhanced its risk-based surveillance and examination programs to ...
If author Stephen King had it right when he said “brevity makes sweetness,” then the CFTC’s rules around bona fide hedging can seem as sour ...
This week the new Financial CHOICE Act that would modify Dodd-Frank and other financial services’ regulation is expected to be unveiled. IA Watch has obtained a ...
A proposal that would provide an exception to the prohibition on projecting performance to permit brokerage firms to distribute a customized hypothetical investment planning illustration ...
Through a new No-Action Letter, the CFTC has delayed the March 1 effective date for its new variation margin rules until Sept. 1, so as ...
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 ...