SEC Speech: Opening Remarks Regarding the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Proposed Rules 15Fb1-1 through 15Fb6-1)(Commissioner Elisse B. Walter; Washington, ...
Click here to open a Word file that is an example of a firm's code of ethics. This comes courtesy of Lori Renzulli, GC/CCO of ...
Click here to open a Word file that is an example of a whistleblower policy in response to the SEC's 2011 whistleblower rule. This example ...
Click here to download an Excel file contributed by Michael Minces, general counsel of Blue River Partners in Dallas. This is a template designed to ...
The SEC is electing to not repeat its tiered filing fee system for the new exempt reporting advisers and for private fund advisers expected to ...
Last week, as 150 representatives from the brokerage industry trekked to Capitol Hill to persuade lawmakers that an SRO was necessary for investment advisers, a ...
The alleged scheme didn't involve swindling investors out of their assets but still cost the adviser dearly. The SEC alleges Hovan Capital Management in Belvedere, ...
Every two years, NASAA releases a compilation of exam results and the latest version shows it means business in taking over thousands of new advisers ...
With doubts running rampant that Congress will ever approve user fees to pay for IA exams, many predict the time's ripe for an SRO for ...
A quality compliance program must have discipline. "I think it's hard to claim that if you're not working from some kind of [compliance] calendar," believes ...