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 ...
The Midwest investment adviser had wended its way successfully through an SEC exam only months before an examiner from the Department of Labor arrived. Mere ...
When it’s all added up, the Financial Planning Association suffered a $40,000 loss in 2014, according to its most recent IRS-990 filing. However, when contrasted ...
Cross off another of the Dodd-Frank mandated responsibilities for SEC commissioners. The three sitting commissioners Feb. 10 unanimously approved a final rule that provides guidance ...