So what would it cost your firm each year should Congress grant the SEC the right to charge RIAs a user fee to cover the ...
The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO ...
Among the 20 recommendations contained in a 96-page joint report released Friday by the SEC and the CFTC is one that supports congressional efforts to ...
The Department of Justice Friday announced criminal fraud charges against some prominent hedge fund managers, including Raj Rajaratnam, a portfolio manager with the Galleon Group, ...
The latest attempt to define a fiduciary duty standard to be shared by investment advisers and broker-dealers didn't inspire any hand-holding by industry representatives who ...
You knew the SEC's plan to ban advisers from using placement agencies to attract government pension plan business would be controversial and the industry has ...
This story seems especially timely given the recent federal indictment charging three alleged hackers with stealing 130 million credit card numbers. More and more investment ...
As Congress considers a fiduciary duty standard for investment advisers and broker-dealers, the SEC may well carve out greater harmonization on its own."I think it's ...
While his brother Bernie languishes behind bars, Peter Madoff - the former CCO of Bernard L. Madoff Investment Securities (BMIS) - faces no criminal charges. ...
Here's a strategy sure to pay dividends prior to your next SEC exam: obtain a copy of your region's latest SEC document request letter and ...