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.
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. ...