The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...
You can now register for the SEC’s national compliance outreach seminar slated for April 19 at Commission headquarters in Washington, D.C. In-person registration is limited ...
June 30 is the deadline for filing an FBAR report if you hold financial interests overseas (IA Watch, Jan. 8, 2015). A new proposal from ...
In a case that could have had broad ramifications if it turned out the other way, a former CCO has lost his bid to have ...
As industry predictions contend that we’ll see a final Department of Labor fiduciary duty rule before the month is out, opponents of the rule point ...
A new SEC settlement fines an adviser $100,000 for overcharging some 25 clients an average of $250 per quarter due to faulty AUM calculations. What ...
For years, individuals owning foreign assets greater than $50,000 have had to file Form 8938 (statement of specified foreign financial assets) with their annual tax ...
Compliance officers don’t necessarily have a reputation for being technologically proficient – and the SEC recognizes this. “We don’t expect you to be cybersecurity ...
The emotional strain caused by taking on the SEC was seen at IA Watch’s IA compliance conference last week when Mark Robare, owner/CCO at The ...
This year could bring the end of Advisers Act rule 206(3)-3T (temporary rule for principal trades with certain advisory clients) – although this has been ...