If you haven't had the experience yet, chances are there'll be a day when you must stand before a board of directors. Here are some ...
Design policies and procedures that will enable your firm to monitor the national best bid on a real-time basis, the SEC says in the final ...
Spring is the time of renewal so let's sample how your peers have spruced up their compliance programs of late.Track performance outliers. Technology comes up ...
A two-year investigation by multiple regulators culminated today with SEC, FINRA and state charges against an RIA, a portfolio manager and an accountant related to ...
A few paragraphs from the SEC on derivatives has some in the industry wondering what's up. Last month the agency announced it's applying the brakes ...
Surveys of advisers' use of social media are all the rage. Two additional ones bring the total in recent weeks to three (IA Watch, March ...
With federal regulatory reform on a determined path to move about 4,000 RIAs to state registration by hiking the AUM threshold to $100 million (IA ...
The fate of former vFinance COO/CCO Richard Campanella rests in the hands of the Commission after an appeal last week of an administrative law judge's ...
At the end of the day, call it a draw. Last week the U.S. Supreme Court unanimously ruled in theJones v. Harris investment adviser fee ...
It could prove the ultimate in exam preparation: a guide to OCIE's exams from the SEC's Office of Compliance Inspections and Examinations itself. The division ...