If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff. ...
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies. The exam letter probes ...
Cornelius Peterson hands himself in next month to begin serving a 20-month prison sentence. His partner in crime, James Polese, learns his fate next month. ...
The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new ...
Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss ...
New Silk Route Advisors ($1.1B in AUM) in New York runs two Cayman Islands-based private equity funds that invest in India but its regulator resides ...
FINRA has a plan for cracking down on what it sees as a growing problem with churning: Change the rules of the game to make ...
If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch. Three investment advisers and Leonard Schwartz, ...
The Advisers Act’s pay-to-play rule clearly states that a violation of the rule prohibits an adviser from receiving compensation from a public pension plan for ...
Aegis Capital’s written supervisory procedures were clear: The firm’s anti-money laundering compliance officer was responsible for filing suspicious activity reports on behalf of the dual ...