A proposed rule from the Department of Labor released in November 2010. This potential amendment of ERISA thanks to the Pension Protection Act of 2006 ...
The SEC sure is hearing a lot about a subject it hasn't publicly asked the industry to comment on: whether to ask Congress for the ...
A core responsibility of a chief compliance officer's job is to put in place compliance policies and procedures that match the firm's risks. You can ...
The benefits of social media - including reaching new prospects, interacting with clients and increasing your firm's brand awareness - will continue to attract advisers ...
The Dodd-Frank law exempts three types of advisers from registration under the Advisers Act - venture capital funds, private funds with under $150 million in ...
This is what you've been waiting for - how financial regulatory reform would affect investment advisers. The SEC has released the two proposed rules directly ...
The next time you update your Form ADV, Part 1 on the IARD you can expect to find several additional questions related to custody. These ...
If you don't have an encryption tool already, start looking for one. A FINRA proposal is likely to be finalized soon that will require broker-dealers ...
The topic of due diligence pops up a lot in current SEC exams (IA Watch, Nov. 8, 2010), yet there is no industry standard on ...
Lloyd Karp won't be up for CCO of the year. Last week the former CCO and his firm, Buckingham Capital Management ($1.4B in AUM) in ...