Inside a Spartan room, seated at a low-rise table surrounded by four plastic chairs sat Bernie Madoff, dishing for more than four hours recently, naming ...
Sources tell us it's highly unusual for the SEC to revise a sweep-exam letter mid-stream but it appears this is exactly what has happened with ...
Last week's release by the SEC of its 32-page proposed pay-to-play rule aroused howls of protest from some corners, especially over its ban of use ...
Language from the SEC that complies with the Fair Credit Reporting Act for opt-out forms to share with consumers for marketing purposes. This comes from ...
Dechert LLP: No-Action letter dated August 4, 2009 Investment Company Act of 1940 — Section 12(d)(1) Dechert LLP August 4, 2009 RESPONSE OF THE OFFICE ...
This is getting to be a habit. The Federal Trade Commission has once again delayed implementation of its red flags of identity theft rule, this ...
Financial regulatory reform legislation will be ready for the President's signature by year's end, and it will include a mandate that hedge fund advisers register ...
One compliance officer reports three firms within a one-mile radius underwent exams recently in the same week.File this occurrence as an additional sign that authorities ...
There'll be new space on Schedule C (service provider information) of the Department of Labor's trusty Form 5500 later this year reserved to report compensation ...
It didn't take long for the SEC's new investor advisory committee to dive into a hot issue, fiduciary duty, in its inaugural meeting July 27. ...