You know the SEC may well contact your clients about the safety of their assets during exams (IA Watch, March 23, 2009). Now the Commission ...
It's too early to determine if financial regulatory reform legislation currently working through the Senate will include an amendment to criminalize fiduciary duty violations. Last ...
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 ...