The SEC's first regional CCOutreach meeting since the market meltdown, Madoff, Stanford and the rest reflected the times. The Dallas gathering May 11 focused on ...
Nearly $1 million in country club expenses. A $9 million loan to his brother Peter. Fancy restaurants, limos, trips to spas and wine. These are ...
In its first proposed revision of the Advisers Act since the mischief of Bernard Madoff, the Commission has decided unanimously to propose all advisers with ...
The industry has more time to comply with the Federal Trade Commission's red flags for identity theft rules (IA Week, April 27, 2009). For the ...
SEC Chairman Mary Schapiro regards it as "essential that the SEC comprehensively re-examine the money market fund regulatory regime" and she has asked staff to ...
Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...
Bernard Madoff's largest feeder fund, the Fairfield Greenwich Group, defends its due diligence of Bernard L. Madoff Investment Securities (BMIS) and criticizes Massachusetts securities division ...
It looks as though among the legislative changes the SEC will ask of Congress will be expanded authority under the Advisers Act to "seek penalties ...
Please don't interpret this story as one more example of the news media hawking fears of swine flu. While the news saturation of the new ...
The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...