The SEC has picked a hedge fund veteran to run its exam program out of the New York Regional Office. Norm Champ, who has been ...
In his most impassioned defense of financial regulatory reform, SEC Commissioner Luis Aguilar sounded off last Friday on efforts to soften Sarbanes-Oxley, criticized efforts to ...
Surge in enforcement cases speaks to changes within SECThe SEC's Enforcement Division has taken on "a much more prosecutorial approach" under new Director Robert Khuzami, ...
Last week the House Financial Services Committee took the first step toward significant financial regulatory reform for investment advisers with its 41-28 vote sending the ...
You're likely to find Matthew Weitzman of Armonk, N.Y., at home these days. A judge wants it this way. The former CCO at AFW Wealth ...
Allegations of disposable cell phones used to relate secrets, a lawyer who divulged pending acquisitions, suspects deploying code words and a broker-dealer known as "the ...
The question before the U.S. Supreme Court, which heard oral arguments last week in a case involving investment advisory fees (Harris v. Jones), boils down ...
This is an example of an annual questionnaire and certification, courtesy of Steven Felsenthal, general counsel and CCO at The Millburn Corporation in Greenwich, Conn. ...
Think of this as a recount. Recently we shared some strategies for handling reconciliation - including the thought that it's best to reconcile your client's ...
Create a plan for responding rapidly to SEC document request letters and put thought into any claims of privilege before examiners arrive (IA Watch, 10/19/2009).These ...