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 ...
Just as Cinderella faced a midnight deadline, the SEC beat by just hours last week its time limit on the expiration of a long-standing no-action ...
The SEC's new custody rule revision calls on advisory firms to have a "reasonable belief" that a custodian sends account statements directly to clients. While ...
A window opened last week on more changes within the SEC's revamped Enforcement Division as Director Robert Khuzami named the heads of five new specialized ...
Shakespeare may have written "caviar to the general," but you may wish to try candy for the troops.As a compliance officer, Devin House always kept ...
A former CCO at a Chicago RIA must pay penalties of more than $150,000 and is barred from the industry for helping her former boss ...