Those surprise audits called for by the SEC's revised custody rule by definition dictate that you won't know when they'll occur but this doesn't mean ...
Last week the SEC cited a broker-dealer subsidiary of Goldman Sachs for violating Rule 204T of Reg SHO, which sets deadlines for closing out fails-to-deliver ...
The government may be doing your marketing. The Government Accountability Office last week released a report that paints a rather dismal picture of retirement for ...
You know the SEC may well contact your clients about the safety of their assets during exams (IA Watch, March 23, 2009). Now the Commission ...
It's too early to determine if financial regulatory reform legislation currently working through the Senate will include an amendment to criminalize fiduciary duty violations. Last ...
Where were you when the market collapsed....With memories of the 2008-09 market free-fall fresh - and certainly no one hoping it repeats - you can ...
IA Watch has obtained a memo written by two employees of PriceWaterhouseCoopers after conducting some due diligence on the Bernard L. Madoff Investment Securities firm ...
The scenario begins with a dually registered RIA in which a clearing firm demands the adviser run a transaction through the firm's account. By day's ...
Keep track of the pace of a consultant's billing
The heart of your firm beats within the confines of the trading desk, and you have a responsibility to monitor what goes on there. Best ...