Only two months after the U.S. Supreme Court handed the industry a 5-4 victory in the Janus Capital Group v. First Derivative Traders' case (IA ...
The pace of new technology development, especially when it comes to personal devices and their ability to reach anyone any way can be mesmerizing. "Every ...
If the market continues to tumble or to stay down, brace for an increase in customer complaints. And be ready to separate vague gripes about ...
When the government declares that something carries a safe harbor protection, it doesn't dictate that you must do something but simply states that if you ...
Ironically, the very week the new Dodd-Frank whistleblower rule took effect (IA Watch, Aug. 15, 2011) the SEC finds itself under scrutiny for allegedly routinely ...
A peer shares the firm's policy for social media, email and other e-communications.
A peer shares the firm's e-communications policy, which deals with emails, social media and other forms of electronic communications.
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It's considered a best practice for investment advisory firms to file a Suspicious Activity Report (SAR) with the government when they come across questionable financial ...
The SEC has enhanced its whistleblower website now that the rule has taken effect (IA Watch, Aug. 8, 2011), making it easier for complainants to ...