If your firm sold investors on the investment management program ESI Illuminations Select, you'll take interest in the legal settlement last week between the SEC ...
Although the SEC's not talking, various sources confirm that the Office of Compliance Inspections and Examinations has been sending this fall a sweep exam letter ...
The latest SEC enforcement action targeting insider trading reads like a mix of espionage and office politics, with its claim that the suspects "exchanged illegal ...
From all outward appearances, the Indian-born financial professional in Singapore seemed a perfect partner to do business with. However, an inquiry into his past revealed ...
Most investment advisory firms will not need to secure a surprise annual exam to verify client assets after the Commission voted unanimously last week to ...
Commissioners voted unanimously this morning to adopt the SEC's first major rule affecting investment advisory firms in the aftermath of the Madoff scandal. In approving ...
SEC Commissioners plan to meet Wednesday to consider their amendments to the proposed custody rule (IA Watch, Aug. 10, 2009). The question to be answered ...
Legal troubles emerged for a legal eagle last week, as the SEC charged a second Ropes & Gray attorney in its widening insider trading investigation ...
Considering how hot insider trading is from a compliance perspective (IA Watch, Nov. 23, 2009), it's helpful to see what the SEC expects firms to ...
The Dow opened the year at 8,776, slid to 6,600 in March, and the index looks as if it will close the year over 10,000. ...