In many ways it shouldn't be a surprise given the embarrassments of the last two years that OCIE exams are growing tougher (IA Watch, April ...
Americans are strongly averse to financial risk, less knowledgeable of financial matters than they think they are, and generally don't have "rainy day" funds set ...
With four weeks to go before the SEC's new revised custody rule takes effect - and still many unanswered questions floating about - you may ...
Cases like Galleon's fit "the model for the future" because they feature multi-agency cooperation and a focus on teams of co-conspirators rather than trying to ...
OCIE's new Director Carlo di Florio is doing a full review of his division "to identify ways to improve our program even further," says SEC ...
Regulators are more vigorously scouring anti-money laundering efforts by firms, especially broker-dealers. While the SEC will likely ask your firm about its AML program on ...
The end is near. Not for the world, but for hopes that financial regulatory reform will extend a fiduciary duty standard beyond RIAs to anyone ...
Mutual fund boards are being urged to ask their principal investment adviser many questions about any fund subadvisers, including whether the fund's CCO has reviewed ...
In a blow to the SEC's effort to clean up Madoff-related messes, a federal judge last week dismissed the most serious securities fraud charges against ...
The institution survived the Great Depression but couldn't overcome a deceptive rep who killed himself as authorities closed in on him. Now the whole sordid ...