Perhaps it was the SEC's fraud charges that played a role in the disappearance of RIA owner Knox Fuqua of Charleston, W. Va., or maybe ...
A compliance officer in Texas is building a disclaimer library, an electronic array of carefully worded disclosures that she will be able to turn to ...
Another legacy of the Madoff case is SEC enforcement and exam staff will be more diligent, cover more bases, spend more time with firms, ask ...
Neither a borrower nor a lender be. Shakespeare couldn't have anticipated the world of high finance in the 21st century, yet his warning words hold ...
Last week ushered in a tweak to FinCEN's suspicious activity reports reporting system. Beginning Sept. 12, when you file a SAR, you will receive an ...
Good things are worth waiting for. Back in February we told you about a FINRA sweep exam letter that asked broker-dealers about the business they ...
It appears the SEC has tracked down accused fraudster Glenn Manterfield (IA Week, Aug. 24, 2009). The agency had found it somewhat difficult to serve ...
Increase the chances of persuading your superiors to support your compliance initiatives by indicating how they would "lead to a quantifiable return on investment," states ...
More than 70 comments, many from RIAs, came in response to the SEC's proposed reforms to money market funds after last fall's debacle. Some expressed ...
As early as November the SEC's Inspector General expects to release another investigative report - this one peering into why OCIE examiners never visited Bernard ...