Investment Advisers

Letter written on behalf of Bernard Madoff by his attorneys asking for a lighter sentence in June 2009.
The SEC Office of Inspector General plans to produce "at least three reports" in connection with the Ponzi scheme orchestrated by Bernard Madoff, according to ...
A Texas RIA has been slapped with a second lawsuit claiming it violated its fiduciary duties by missing numerous red flags and losing $186 million ...
Elderly robbed of their life savings. Charities left to try to hang on. These are among the tales contained within 113 victim statements that the ...
IA Week has obtained a copy of the letter the Enforcement Division of the SEC's New York Regional Office has been sending to advisers as ...
The SEC doesn't require you to disclose that your firm's e-mails may be monitored, but this could be seen as a best practice. We recently ...
You have until Tuesday to comment to the North American Securities Administrators Association about the changes being made to the U4 and U5 forms (IA ...
The most controversial part of the SEC's proposed custody rule hovers around declaring a firm as maintaining custody if it electronically deducts client fees (IA ...
Reaction to President Obama's regulatory reform plan is generally positive but observers note the real details will be hashed out in Congress, which may radically ...
Investment advisory firms can find much to be pleased with in President Obama's plan for financial services regulatory reform. It doesn't call for an IA ...
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