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 ...
SEC complaint filed in June 2009 against Stanley Chais, related to the Madoff fraud.
Four months after the FBI raided the Houston offices of his international empire, federal prosecutors have charged Robert Allen Stanford and others with mail and ...
Franklin Templeton Investments: No-Action letter dated June 19, 2009 Investment Company Act of 1940 — Sections 18(a)(1), 18(c) and 18(f)(1) Franklin Templeton Investments June 19, ...
The criminal indictment of Robert Allen Stanford released June 19, 2009.