The most difficult aspect of testing could be documenting what you do, so consider this outline as a guide: Briefly describe the test. Bullet-point the ...
One month into the reign of the SEC's new Chairman Mary Schapiro and it looks like the horses are out of the gates. IA Week ...
The new director of the SEC’s Enforcement Division is Robert Khuzami, who was a federal prosecutor in New York City for 11 years.For the ...
The first memo from the compliance department was sent up the chain of command in 2003. The next year, two new compliance officers for the ...
Disgraced former RIA Bernie Madoff last week sought to move past SEC civil charges as he prepares for the much bigger stakes within the criminal ...
Taking a look at regulations affecting investment advisers and broker-dealers. Reforming credit rating agencies. Beefing up enforcement. Applying a costs-benefits analysis to regulations. Empowering shareholders.One ...
You should expect the SEC to show its teeth following the embarrassment around the Madoff scandal. An early indication of this new attitude came from ...
SEC rules for what type of securities are required to be reported are fairly clear. But what about securities received as gifts?Certain closed-end funds, IPOs ...
Firms could try to use attorney-client privilege to avoid disclosure of mock exams or compliance audits. The maneuver has to be legitimate, though, and even ...
It looks like the award-winning director Michael Moore, who has lampooned auto executives, a president, and the health care and gun industries, is turning his ...
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: