A peer shares how the firm educates staff about the Massachusetts data security rule.
A peer shares frequently asked questions related to the Massachusetts data security rule assembled for the firm.
The final rule, released by the SEC in July 2010, related to so-called pay-to-play issues. This rule contains a two-year penalty for firms that violate ...
If you haven't visited the Investment Advisers Public Disclosure website recently, you've missed a new addition: the opportunity to search for information on 220,000 investment ...
The SEC has set up a website with Q&As related to its 30b1-7 final rule that it released earlier this year. The site provides compliance ...
Most ERISA plan fiduciaries must annually electronically file with the Department of Labor a Form 5500. One mistake many fiduciaries commit is filing late. Other ...
Many firms lump their policy disclosures to clients when they offer their annual Form ADV, Part II. Be careful. Some firms forget to include a ...
The death of Sen. Robert Byrd (D-W.Va.) may have delayed a final Senate vote on financial regulatory reform until next week, but Washington insiders say ...
Thirteen days after SEC examiners arrived last month at his RIA to conduct a for-cause exam inspired by a tip, CEO/CCO Ken McLeod shot himself, ...
SEC commissioners voted unanimously Wednesday to adopt new Advisers Act rule 206(4)5 to counter so-called pay-to-play frauds in which advisers pony up for the right ...