The number's up for Bernie Madoff's accountant David Friehling. The SEC has charged Friehling with securities fraud for falsely claiming he had audited Bernard L. ...
The recent enforcement case costing Merrill Lynch $1 million (IA Week, Feb. 9, 2009) highlights the need to not only give clients and prospective clients ...
So whatever happened to the SEC's Form ADV, Part 2 proposal (IA Week, Dec. 15, 2008)? It rests "high on the agenda for this year," ...
Some investors blame the SEC; others themselves. Many of them describe the pain and human tragedies caused by the loss of their investments in Bernard ...
Credit Bernard Madoff for prompting the tax man to change its rules. The IRS announced last week two new rulings that allow victims of Ponzi ...
A new report from the SEC's inspector general supports critics who have long argued the Commission has failed to enforce rules against abusive short sellers.The ...
Many of your compliance peers have expressed outrage at the SEC's newest exam tactic - reaching out to advisory clients as a means to confirm ...
Custody may top the list of topics currently drawing examiner interest but it doesn't represent the lone change to exams."We're much less predictable than we ...
You'd go a long way toward satisfying the SEC during an exam if you concentrated on (1) disclosures (2) custody (3) the accuracy of your ...
Reports indicate the U.S. Second Circuit Court of Appeals in New York has denied Bernie Madoff's request to be released from prison until he's expected ...