Alleged violations of its fiduciary duty to investors resides at the heart of the SEC's civil case against RIA ICP Asset Management ($11.4B in AUM) ...
As the SECdescribes it, a former fund chairman and the head of a now-deregistered RIA, Moore Clayton Capital Advisors, cut a secret deal to persuade ...
As anticipated, the Commission earlier this month ordered FINRA and the exchanges to implement a temporary halt in trading of any stock in the S&P ...
Members of the House-Senate conference committee began their work last week toward reconciling the chambers’ two reform bills but didn’t yet get to the issue ...
Seattle-based securities attorney James Barbee, who has favored mediation over arbitration for the last 10 years, says information unearthed in mediation can help CCOs spot ...
Those most recent FAQs from the SEC about its custody rule apparently haven't resolved all inquiries (IA Watch, May 31, 2010). We have come upon ...
The Commission last week unanimously approved a proposed rule that would require greater disclosure in advertising and marketing of target date funds. Chalk up the ...
It's not often the Big Apple takes from the Second City. Last week the SEC's regional office in New York ripped a page from its ...
The market tumult of the last couple of years handed you a great reason to review your policies and procedures around valuation. One best practice: ...
The element of surprise works to your advantage when attempting to convey a message of compliance to staff. Take this example. When former Alaska Governor ...