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 ...
Online meeting spots like Facebook, LinkedIn and twitter tantalizingly offer the chance to reach younger potential clients at a cheaper cost but worries of running ...
Missed opportunities summarizes the SEC Office of Inspector General's investigation of the Madoff affair. David Kotz's 477-page report details failure after failure by staff to ...
Only one in every two U.S. workers is enrolled in some type of pension plan. This and other factors, such as the stock market collapse ...