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 ...
It began over lunch last May. David Bottoms, founder of Oaktree Asset Management, an RIA in New York, invited Peter Raimondi, president & CEO of ...
The annual review this year at Sectoral Asset Management in Montreal took longer and was more detailed than usual. One reason: CEO/CCO Jerome Pfund tried ...
A good code of ethics contains a specific policy directed at personal trading. Enforcing your rules can be helped by asking the right questions with ...