The struggle to find a compliant privacy notice to give clients ended last week, as the SEC and seven other federal agencies finally agreed to ...
Tucked inside Sen. Christopher Dodd's (D-Conn.) massive financial regulatory reform bill you'll find provisions that would encourage more states to adopt the North American Securities ...
The SEC's Office of Compliance Inspections and Examinations should revise its risk-scoring system for investment advisory firms, inform these ratings with additional information from other ...
The cases keep coming. In the weeks since the news splashed about the arrest of billionaire Raj Rajaratnam at Galleon (IA Watch, Oct. 16, 2009), ...
Seeking a shortcut to a sound annual review? Assemble your risk assessment, a summary of your forensic tests for the year and a list of ...
Close to two dozen federal entities – including the SEC– have joined to combat financial fraud, authorities announced Nov. 17. President Obama, acting from China, ...
The SEC has pushed back the effective date of Regulation S-AM - which affects marketing among affiliates - from this coming January until June of ...
Next year marks the compliance deadline for mutual funds to create a summary prospectus (IA Watch, Jan. 19, 2009). The SEC may extend the concept ...
The SEC claims Ezra Levy, the former CFO at the hedge fund and registered investment advisory firm Boston Provident ($135 billion in AUM) in New ...
You wouldn't be faulted for reading the SEC's CCOutreach change as a sign of its view on investment adviser and broker-dealer harmonization. The agency announced ...