With so many tripwires around new business activities, it's vital that compliance staff know what's in the works and how to protect the firm.Consider the ...
It’s expected two Senators (IA Watch, March 26, 2010) will next week seek to introduce their amendment that could expand the fiduciary duty standard to ...
A document request letter sent to a dually registered RIA by the SEC for an exam in 2009.
No-Action Letter: Claymore Advisors, LLC (April 27, 2010) Investment Company Act of 1940 — Section 15(a) Claymore Advisors, LLC April 27, 2010 Your letter dated ...
Earlier this year we alerted you to a new type of SEC document request letter out of the agency's Chicago Regional Office (IA Watch, Jan. ...
The SEC has revamped how it handles whistleblowers with a centralized and dedicated system for tracking complaints (IA Watch, April 5, 2010). A newly released ...
With the Senate poised to consider financial regulatory reform, two senators - Daniel Akaka (D-Hawaii) and Robert Menendez (D-N.J.) - are ready to count the ...
The newly revised custody rule includes two requirements that went into effect with the rule March 12: (1) Include a legend with statements to clients ...
One week after the SEC charged Wall Street giant Goldman Sachs and one of its vice presidents with fraud in the sale of synthetic collateralized ...
If Madoff cast a harsh light on SEC investment advisory examiners, a new report by the agency's inspector general paints them as heroes in attempting ...