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 ...
Speculation about the coming changes for the financial services industry under a Trump administration runs rampant. Since Dodd-Frank was enacted six years ago, the massive ...
Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to ...
Even as the 60-day window ticks down on The Robare Group’s opportunity to appeal the SEC’s adverse ruling in its disclosure case (IA Watch, Nov. ...
The long-awaited National Market System plan to create a Consolidated Audit Trail was approved Nov. 15 by a unanimous vote of the SEC’s commissioners. The ...
In the early hours of Wednesday, when overseas markets initially sank on the news that Donald Trump was the president-elect, the SEC reached out to ...
Here’s an appealing anti-money laundering compliance model for a small broker-dealer. Focus on a few high-level objectives. Position your compliance officer within earshot of your ...
Following an August proposal, the three CFTC commissioners Nov. 10 unanimously agreed to a final rule giving CCOs at futures commission merchants, swap dealers and ...