As you might expect cybersecurity occupies a top spot on the priority list for many of your compliance peers in 2016. Dividend Assets Capital ...
2016 Regulatory Calendar for RIAs Predictions abound for the year ahead. While many expect develop-ments – such as a final fiduciary duty rule from the ...
In the first of a required-Dodd-Frank issued report, SEC staffers suggest the Commission should consider several changes to its definition of an accredited investor, including ...
Lessons aplenty can be found in the new SEC settlement with Morgan Stanley Investment Management ($257B in AUM) over the illegal “parking” of some trades ...
Yet another SEC case charges an investment adviser for placing its own financial interests ahead of its clients and for attendant disclosure failures – and ...
In a case that has rattled Wall Street’s nerves, the SEC Dec. 16th gave Third Avenue Management ($9.9B in AUM) in New York permission to ...
Getting a handle on the stream of share classes offered by mutual funds and their attendant fees can seem formidable. Yet recent share class allocation ...
In a 3-1 vote Dec. 11th, SEC commissioners approved a proposal that would create new Investment Company Act rule 18f-4 that would give mutual funds, ...
The latest chapter in a roller coaster case against two former State Street executives that began with the 2007 subprime mortgage crisis ends with their ...
When the trail of an alleged pump-and-dump scheme appeared to lead to a bank in the Cayman Islands and a trading firm in Panama, the ...