RIAs often come to Michele Gibbons, pointing out what their competitors are doing with social media and asking why they can't, too. The partner with ...
Worries about the integrity of some money market funds at the depth of the financial crisis have driven SEC commissioners to vote 4-1 for a ...
Congress may be struggling over investment adviser-broker dealer harmonization but compliance officers from both entities came together at the first combined SEC CCOutreach meeting last ...
Last June, as the mortgage-backed securities market tanked, an official at the RIA Evergreen Investment Management Company got wind that a fund packed with the ...
Struggles over estimating fair value of investments that calculate NAV have been well documented of late and now the American Institute of Certified Public Accountants ...
Data support a five-year "dramatic increase" in enforcement of Foreign Corrupt Practices Act cases, with both the SEC and the Justice Department prosecuting them.While the ...
Days before Laura Pendergest-Holt, CIO of the Stanford Financial Group, was to testify to the SEC, she met with Robert Allen Stanford and CFO James ...
Perhaps you remember the story after 9/11 about unknown investors who sold short U.S. airline stocks just before the terrorist attack. That story may have ...
You must engage in an annual review of "the adequacy" of your firm's compliance policies and procedures - but how you get there can vary ...
The questions keep coming about the SEC's new revisions to the custody rule, which goes into effect March 12 (IA Watch, Jan. 18, 2010). Here ...