Last week the North American Securities Administrators Association urged Congress to return to state regulators the ability to go after banks for security violations and ...
New SEC Chairman Mary Schapiro favors the registration of hedge funds, wishes to bring CDOs and other such securities under the giant regulatory tent, supports ...
You can find dozens of new compliance answers to nagging questions on two updated Web sites from the Commission. One Web site offers answers to ...
Daniel Fisher wants his old job back. Last month the financial consultant persuaded a Labor Dept. administrator that Fisher's employer, Wells Fargo, had retaliated against ...
If your firm awarded annual bonuses, in part, based upon an employee's adherence to its compliance rules, staff would take notice. The gesture would also ...
Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...
One senator characterized the "calamitous failure" to detect Bernard Madoff's alleged Ponzi scheme as the "darkest" chapter in the country's regulation of the financial services ...
A listing of hot SEC exam topics from 2007 - 2008.
A list of 10 topics investment adviser CCOs should consider when doing their annual reviews.
One senator characterized the “calamitous failure” to detect Bernard Madoff’s alleged Ponzi scheme as the “darkest” chapter in the country’s regulation of the financial services ...