A copy, somewhat difficult to read, of an SEC document request letter from a Northeast firm that was examined in 2009. The firm advises mutual ...
Out with the old, in with the new. As the Treasury Department's insurance program for money market funds was phased out earlier this month, SEC ...
Turns out reports of the death of Form ADV Part 2 reform are premature, but books and records changes may have to wait, according to ...
Whatever legislation reforming financial services regulations that comes down from Capital Hill could include a model approach to compliance that mirrors RIAs' method. CCO David ...
Nearly 40% of respondents to a recent survey note they have worked with a professional to develop a financial plan, but this percentage beats out ...
A year after the market downturn and months after Madoff, the SEC is embarking on new reforms, fueled by new leadership, energy and focus, and ...
Compliance officers have never felt busier but they need to do a better job of mixing with the business teams and uncovering conflicts. "Unfortunately we're ...
The personal trading software RMB Capital Management in Chicago purchased last year has saved the firm 0.5 FTE, says CCO Jennifer Rydwelski. "I've gone from ...
Five new specialized units being created by the SEC's Enforcement Division (IA Watch, Aug. 10, 2009) will be assisted by more sweep exams by the ...
This is a checklist, in an Excel format, to help prepare for an SEC exam, courtesy of David Lui, a CCO in Minneapolis.