Where were you when the market collapsed....With memories of the 2008-09 market free-fall fresh - and certainly no one hoping it repeats - you can ...
IA Watch has obtained a memo written by two employees of PriceWaterhouseCoopers after conducting some due diligence on the Bernard L. Madoff Investment Securities firm ...
The scenario begins with a dually registered RIA in which a clearing firm demands the adviser run a transaction through the firm's account. By day's ...
Keep track of the pace of a consultant's billing
The heart of your firm beats within the confines of the trading desk, and you have a responsibility to monitor what goes on there. Best ...
The SEC has placed on its Web site a compliance guide to its new short sale price test under Reg SHO. It provides a clearer ...
SEC Commissioner Elisse Walter last month openly called for the creation of an SRO for advisers. Speaking at an industry conference, she also questioned proposals ...
Here they come again - more failure to supervise cases, including one against a CCO for neglecting to take appropriate action to investigate red flags ...
The Chicago Cubs might win the World Series before you see a final rule on Form ADV, Part 2 - and they've been waiting 102 ...
The Senate showdown last week with seven current or former Goldman Sachs employees included questioning about whether the firm was or should be under a ...
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