FINRA has been relatively patient as firms have built their cyber defenses even as a growing number suffer devastating attacks. But there is a line, ...
The recipe’s as simple as baking Christmas cookies: do what you’ve promised investors in writing that you’ll do. Violating this simple rule cost private ...
Do you have written supervisory procedures for IRA rollovers? If not, you aren’t alone. One in five advisors and broker-dealers recently examined by the SEC ...
‘Tis the season for joy – and it seems OCIE exams of advisers. We’ve heard the same thing from many people across the country over ...
Richer detail, more examples and even longer lists illustrate how private equity fund advisers have reacted to the SEC’s intense interest in disclosures around fees ...
Now that the presidential election is behind us (we think), it’s a good time to vote on whether your pay-to-play P&Ps measure up. Pershing ...
We are just over a month removed from seeing FINRA’s 2017 exam priorities, even while a holdover from the SRO’s 2015 exam priorities letter lingers—a ...
Alvin Guy Wilkinson once served as a member of the Chicago Board Options Exchange, held leadership roles on CBOE committees and had ties to the ...
IA Watch has learned that sources close to efforts to persuade the SEC’s Division of Investment Management to clarify if the ability for an adviser ...
The 68 enforcement cases the CFTC announced in FY 2016 comes in a shade behind the 69 achieved the previous year, but the agency’s $1.29 ...