A broker-dealer registered rep hired by the Stanford companies in 2000 told a Senate committee last week she reached out to the SEC in 2004 ...
Dechert LLP: No-Action letter dated August 24, 2009 Investment Company Act of 1940 — Section 12(d)(1) Dechert LLP August 24, 2009 RESPONSE OF THE OFFICE ...
The Treasury Department has decided to accept more comments related to its FBAR form (Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts), ...
Securities fraud charges have been filed by the SEC against an investment advisory firm and two of its principals for inflating the value of embattled ...
The court-appointed receiver in the alleged Stanford fraud case seeks to clawback the principal from investors and the SEC is challenging the attempt in court. ...
A compliance officer at an RIA alerts us that her firm recently underwent a surprise exam - at the hands of an examiner from her ...
Be forewarned that migrating your firm's staff to a computerized trading clearance system will take longer than you expect, but you'll be rewarded with abundant ...
As the song goes, "you say 'either,' and I say 'either.'" Or more precisely, what does it really mean to be a fiduciary?The topic spurred ...
If you determine you lack the resources to properly do the job, notify senior management but be specific. "To say you're overwhelmed is not enough," ...
Cecil B. DeMille couldn't have staged a more elaborate production. The guilty plea last week of key Madoff lieutenant Frank DiPascali lifts the veil on ...