Seven years after the Stanford Ponzi scheme unnerved the industry, the former CCO of the investment adviser this week pleaded with SEC commissioners to toss ...
President Barack Obama has called on the doubling of the funding for the SEC from its 2015 level by 2021. In his 2017 fiscal year ...
After four years of clashing with the SEC over fraud charges, Nicholas Rowe, the former president of the advisory firm Focus Capital Wealth Management, finally ...
NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...
New OCIE Director Marc Wyatt is putting his stamp on the IA exam program in a big way. Sources tell IA Watch that reports OCIE ...
The Department of Labor Jan. 28th sent its controversial fiduciary duty final rule to the federal Office of Management and Budget. OMB has 90 days to ...
Only the European Parliament stands in the way of blocking what looks like a sure eventuality: adoption of the EU’s new data protection rule (IA ...
It took only six months for former U.S. Senator Judd Gregg to determine that the CEO job at SIFMA was not for him but the ...
It’s been one year since we told you the story of Thomas Haider, the former CCO at MoneyGram, who was assessed a $1 million fine ...
The latest Form ADV from DDJ Capital Management ($8B in AUM) in Waltham, Mass., discloses the adviser’s newest policy. Last year, it adopted a remuneration ...