The SEC is seeking more money from Congress in FY 2010 even as it expects the percentage of registered investment advisory firms examiners will be ...
One regulator that would look out for systemic risk teamed with a "systemic risk council" of regulators is the approach favored by SEC Chairman MarySchapiro.She ...
A new product. A new type of security. A revised compensation model within your firm. These are all potential breeding grounds for conflicts of interest. ...
The SEC's first regional CCOutreach meeting since the market meltdown, Madoff, Stanford and the rest reflected the times. The Dallas gathering May 11 focused on ...
Nearly $1 million in country club expenses. A $9 million loan to his brother Peter. Fancy restaurants, limos, trips to spas and wine. These are ...
In its first proposed revision of the Advisers Act since the mischief of Bernard Madoff, the Commission has decided unanimously to propose all advisers with ...
The SEC's model template letter it sends to clients during exams in an effort to verify assets.
The industry has more time to comply with the Federal Trade Commission's red flags for identity theft rules (IA Week, April 27, 2009). For the ...
SEC Chairman Mary Schapiro regards it as "essential that the SEC comprehensively re-examine the money market fund regulatory regime" and she has asked staff to ...
Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...