The nation's biggest public pension fund is taking a critical look at fees paid to a placement agent headed by a former board member.The California ...
Should the SEC adopt its pay to play proposal ( IA Watch, Oct. 12, 2009), advisory firms should consider adopting best practices, such as adding ...
Investors will be helped by Congress codifying a fiduciary duty for broker-dealers who provide investment advice, just as they would be with the SEC's proposed ...
One way to quiet muttering over compliance training is to include the boss of the staff on your committees.This was one tip emerging from a ...
Citing "serial, gross negligence" by the SEC in failing to uncover the Madoff scandal, two former clients of the Ponzi schemer are suing the Commission ...
Even as the SEC reads industry comments on its July proposed rule affecting money market funds, it has plans for a second rule proposal next ...
Mistakes with advertising and marketing generate enough deficiencies to reside within the top 5 issued by SEC examiners. In the fiscal year just ended, 30% ...
So what would it cost your firm each year should Congress grant the SEC the right to charge RIAs a user fee to cover the ...
The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO ...
Among the 20 recommendations contained in a 96-page joint report released Friday by the SEC and the CFTC is one that supports congressional efforts to ...