SEC Chairman Mary Schapiro reiterated her full support of a proposal to apply the same standard upon investment advisers and broker-dealers before Congress last week, ...
Several recent enforcement actions target firm CCOsThree separate cases in the last few days snagged firm CCOs, including one criminal plea that could bring up ...
Karen Silkwood, John Dean and Linda Tripp are just some of the names that come to mind when recalling famous whistleblowers. The SEC receives thousands ...
Everything old is new again, as seen in the Commission's unanimous vote last week to propose a rule targeting investment advisers that provide or encourage ...
While SEC examiners will inquire how your firm handles trade errors, there is no formal rule spelling out your obligations. However your responsibilities stem from ...
A compliance log in an Excel format provided courtesy of Christina Sears, CCO at American Beacon Advisors in Fort Worth, Texas. This tool contains separate ...
You can make your voice heard - or rather tack your name onto a growing list of those urging Congress to mandate an "authentic" fiduciary ...
Over time we've shared many current SEC document request letters with you. The latest one, courtesy of one of your peers, diagrams the hot topics ...
Be cautious about accumulating too large a pool of soft dollar credits. You could see them vanish in a flash, or be accused of not ...
Reports indicate the SEC's new Director of Enforcement Robert Khuzami has shuffled around the division, including setting up units with special expertise. He may be ...