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 ...
Timing is everything. A California CCO wishes to pass on a lesson from a recent exam that the tenor can shift between the exit interview ...
You won't find the phrase "family offices" in federal law - at least not yet. The concept has been around a long time and some ...
Industry pros offer up more ideas for compliance testing to improve your programHere's a simple rule-of-thumb held by RobertTull, VP and compliance officer at ING ...
You're likely to find much to be happy about in the draft financial regulatory reform bill from Sen. Christopher Dodd (D-Conn.). It would extend a ...
Federal authorities filed charges Friday against two computer programmers who worked at Bernard L. Madoff Investment Securities. They claim Jerome O’Hara of Malverne, N.Y., and ...
By now you have to wonder if the red flags will ever fly ( IA Watch, Oct. 27, 2008). The Federal Trade Commission has once ...
The SEC has picked a hedge fund veteran to run its exam program out of the New York Regional Office. Norm Champ, who has been ...