The wrinkles in the Department of Labor’s new fiduciary duty rule are starting to show (IA Watch, April 14, 2016). Take soft dollars. Even ...
Engaging in a continuous pattern of fraudulent “scheme trades” to circumvent the provisions of an incentive fee structure has landed a hedge fund manager and ...
Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...
If you’re a Windows user, you’ve no doubt seen the recent exhortations by Microsoft to upgrade to Windows 10. Click carefully. An attendee at ...
You’ve been put on notice: The SEC will soon hike to $2.1 million the net worth test defining a “qualified client.” This is important should ...
IA Watch recently ran across an RFP from the SEC that could lead to a process for the agency to better hear from investors and ...
As the Department of Labor official responsible for crafting the new fiduciary rules, Timothy Hauser is much listened to. And from the nuances of exemptions to ...
Don’t expect the SEC to “micromanage” your approach to cybersecurity. For example, it’s up to you whether you wish to pay for a penetration test. ...
If you’re a CCO at a large investment adviser or broker-dealer, there’s a very good reason you’ll want to be aware of the government’s latest ...
Professional athletes, with their astronomical salaries, high-dollar endorsement deals and often free spending ways, have historically been favored marks for fraudulent schemes. For the second ...