It's almost become a tradition, like a champagne toast on New Year's: The SEC releases a new no-action letter every couple of years that permits ...
California always has to be first. A federal judge there Dec. 28 issued an opinion in a lawsuit that claimed a mutual fund violated its ...
Within the next month, Carlo di Florio, a partner with PricewaterhouseCoopers in New York, will assume the top chair within the SEC's Office of Compliance ...
Make your first stop after the SEC's release of its custody rule be your client contract. Many contracts give the adviser a broad power-of-attorney, which ...
Some of you may have received a special Christmas gift from the SEC's Chicago Regional Office: A two-page letter that asks for numerous documents designed ...
Sometime in March, the SEC's revised custody rule will likely take effect, ticking the clock toward aggressive deadlines for those firms that will need to ...
Analysts predicted earlier this year that an uphill battle awaited a retiree who lost nearly her entire life savings to Bernard L. Madoff Investment Securities ...
So you want to do business in Europe? It's a trend for investment advisers to pursue new business around the globe. But know the hurdles ...
Reports indicate RIA Pacific Corporate Group of La Jolla, Calif., helped steer California Public Employees' Retirement System (CalPERS) toward investing in two private equity funds ...
Two unidentified regional SEC attorneys in the Enforcement Division eagerly await a report coming from SEC Inspector General David Kotz (IA Watch, Dec. 7, 2009). ...