Here are some suggestions for how to review the trade blotter courtesy of Victoria Hogan of NorthPoint Compliance in Red Bank, N.J.
You've heard the promises that the SEC and NASAA will soon be releasing joint guidance to help those RIAs with under $100 million in AUM ...
In another instance of the Internet replacing paper, the IARD system as of Nov. 8 can accept electronically accountants' surprise exam reports of an adviser's ...
The full court press is on. More than 1,000 comments - many of them form letters - have flooded the SEC in response to the ...
'The lesson learned from it is that the so-called bad conduct exclusion ... should be written on a final adjudication basis'
For the second year in a row, the U.S. Supreme Court will hear a case involving an investment advisory firm (IA Watch, April 19, 2010). ...
That newly proposed whistleblower program rule from the SEC goes out of its way to encourage fraud tipsters to first alert their firm's compliance staff ...
Ewelina Zukowska thought she did everything right. She worked at a hedge fund while an undergraduate, went on to earn a law degree, set her ...
A peer shares the firm's social media policy.
One adviser hid a fraud by impersonating the fund's supposed auditor. The other adopted the identity of a baby who had died more than 30 ...