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 ...
This script may need a rewrite. Last week the SEC filed fraud charges against Steve Salutric, who runs RIA Results One in Elmhurst, Ill. It ...
As the Financial Crisis Inquiry Commission begins work to analyze what set off the biggest economic meltdown since the Great Depression, it may wish to ...
You won't have to address this issue unless you're a very small investment adviser that works out of his home. The issue is one of ...