The battering felt of late could lead one to imagine an investment advisory industry in shambles. Au contraire. Data from various sources pieced together by ...
When Isaac Ovid started his investment business, including RIA Jadis Investments, the ordained minister turned to his church, where his father, the pastor, offered a ...
You've heard the talk - government needs to bring together the regulatory regimes of investment advisers and broker-dealers. But the term of the day, "harmonization," ...
You'll find scores of questions the SEC has for the industry in its proposed short selling rule. The questions show the agency wishes to be ...
We've already alerted you that if any of your customers live in Massachusetts you have until next January to contractually require third-parties that handle certain ...
More than 60 brokers who worked for the Stanford Group Company– which included RIA Stanford Capital Management– are being sued by the receiver in the ...
The New York man, Andrew Samuels, who is having some success getting a court to freeze Peter Madoff's assets in a fraud suit is being ...
Don't let Form ADV, Part II's question about the balance sheet throw you if your firm maintains custody.Some wonder how to answer question 14 on ...
In a speech April 6 in Washington, SEC Chairman Mary Schapiro listed several "potential reforms" she's looking at, including requiring that "certain investment advisers have ...
Compliance officers face an obligation each year to review their firm's policies and procedures. While RIAs are under no legal obligation to produce an annual ...