The day after President Bush's term ended, the Department of Labor released a final ERISA rule that expanded the ability of investment advisers to be ...
The evolution of accounting clarity that was FASB 157 could take another leap with release of a proposal that would require greater disclosure related to ...
The sources won't permit their names to be used - and the SEC and FBI decline to comment - but there are mounting voices claiming ...
The new president of the North American Securities Administrators Association has laid out three top initiatives for the association and they all affect investment advisers. ...
Last week's announcement of the creation of three subcommittees hint that the SEC's Investor Advisory Committee will first take up fiduciary duty, investor education and ...
Perhaps it was the SEC's fraud charges that played a role in the disappearance of RIA owner Knox Fuqua of Charleston, W. Va., or maybe ...
A compliance officer in Texas is building a disclaimer library, an electronic array of carefully worded disclosures that she will be able to turn to ...
Another legacy of the Madoff case is SEC enforcement and exam staff will be more diligent, cover more bases, spend more time with firms, ask ...
Neither a borrower nor a lender be. Shakespeare couldn't have anticipated the world of high finance in the 21st century, yet his warning words hold ...
Examples of various disclaimers and disclosures submitted by your peers. Share yours. Contact Carl Ayers at 301–287–2435 or cayers@iaweek.com.