It's tough to find a mistake Wunderlich Securities ($469M in AUM) in Memphis and its CCO Tracy Wiswall didn't make, according to a new SECenforcement ...
One CCO plans to discuss the whistleblower rule before the firm's compliance committee before deciding upon next steps
This RIA can't be alone. It's gleaming new Form ADV, Part 2 brochure states it has no history of disciplinary problems. Yet the IARD reveals ...
When Kuehl Shepherd Kozlowksi ($331M in AUM) in Richmond, Va., set about to purchase a customer relationship management (CRM) system, fresh lessons floated to mind."We've ...
In a May 31 letter sent to SEC Chairman Mary Schapiro, Rep. Barney Frank (D-Mass.) uses the law that shares his name to sway the ...
The SEC issued this no-action letter permitting a private equity entity or one of its funds to purchase shares in foreign funds in excess of ...
BAC Home Loans Servicing, LP (formerly Countrywide Home Loans Servicing LP) Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 BAC Home Loans ...
A peer shares examples of how the firm encourages staff to report possible violations to the CCO through its compliance manual and code of ethics.
This is a copy of the FBAR, the Report of Foreign Bank and Financial Accounts, a Treasury document that some advisers may have to file ...
This is an SEC proposed rule from June 2011 that would punish felons and so-called “bad actors” by disqualifying them from rule 506 offerings. This ...