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 ...
Lawyers for victims of Bernard Madoff are asking a federal court judge to allow them to file a petition that would toss the convicted swindler ...
A portfolio manager has been barred by the SEC from the industry for one year in a case that illustrates how far awry events can ...
The hubbub around short selling has persuaded the SEC to possibly adopt a new rule. The Commission voted unanimously April 8 to propose a rule ...
Legislation creating a ‘new financial regulatory framework’ could be completed by year’s end, top...
Senator Christopher Dodd (D-Conn.) and Rep. Barney Frank (D-Mass.) - two congressional leaders over financial services legislation - have written President Obama pledging their "commitment ...
The head of the SEC's Division of Trading and Markets ErikSirri will be leaving the agency at the end of April to return to academia, ...