Investment advisers should find more willing sources of research thanks to a new soft dollars interpretation from the SEC. The Division of Investment Management responded ...
By the end of the year, expect the SEC to propose a new threshold for a "qualified client." And that often-discussed fiduciary duty study should ...
All this talk about due diligence shouldn't leave out your custodian. Sure, assessing the strength of big boys like Schwab and Fidelity may be different ...
If you don't have a hotline for employees to report wrongdoing, the losses you sustain from a fraud could be 55% higher than if you ...
The SEC has long stated that it ranks investment advisers by risk and most of the firms it selects for exam rank high on that ...
Five months after the SEC's inspector general revealed the agency suspected for years that Robert Allen Stanford was operating a Ponzi scheme but failed to ...
Your heartbeat may have picked up a bit when the Wall Street Journal Sept. 10 reported on a sweep exam by OCIE that probes hedge ...
We've shared techniques your peers use to monitor the trading desk (IA Watch, May 10, 2010). You also may consider simply flipping through the trade ...
During the week the SEC's new pay-to-play rule took effect, the agency set up a short compliance guide to help advisers navigate the rule. The ...
What a stunning statistic: Over the next 20 years, 10,000 Americans will turn 60 years old every 24 hours.Tod Sawicki, a partner with Alston Bird ...