Should FinCEN go ahead with its plan to require RIAs to have a risk-based AML program, the industry should get 18 months to comply and ...
The SEC’s Division of Investment Management and the Office of Compliance Inspections and Examinations are actively developing a recommendation that would establish a program of ...
The House of Representatives on Oct. 27 passed a bill that would halt the Department of Labor’s proposed fiduciary rule and require the agency to ...
When it comes to smartly preparing for a possible SEC exam, few activities would appear shrewder than what Tanya Kerrigan did. The general counsel/CCO ...
The phrase uttered during an old TV car care commercial went “you can pay me now, or pay me later.” That maxim applies to ...
Andrew Donohue has been responsible for legal and compliance functions at Goldman Sachs and Merrill Lynch Investment Managers. “I know how difficult your jobs can ...
Reversing a fund’s investment strategy from investing in distressed debt to betting against it without adequately disclosing the change to the fund’s investors, prospective clients ...
The Department of Justice announced today that it is dismissing insider trading charges against seven defendants, some who had pled guilty – all as a ...
Several “first-of-their-kind” cases. Whistleblower payments totaling $38 million. Victories in all six federal trials launched. More than 800 enforcement actions taken and assessed penalties topping ...
The Senate will soon be able to bring the SEC Commission back up to its full five members. This after President Obama Oct. 20th announced ...