One of the repercussions of the Bernie Madoff scandal could be an unleashed inspection staff at the SEC. "Clearly the SEC's been burned by the ...
It's unclear if the economy will heat or chill merger and acquisition activity among advisory firms. If your firm's planning or considering such a deal, ...
Look it as a Christmas gift from the SEC. Two days before the recent holiday, an East Coast adviser discovered an e-mail from the agency's ...
The effects of last year may linger as mutual fund directors review your contracts. For example, some may move to change or eliminate the expense ...
It's official. The short-form prospectus for mutual funds is now reality with the SEC's release last week of its final rule affecting mutual funds and ...
If your neck muscles feel a little tighter these days, blame your job.A new study from the Financial Planning Association finds advisers are especially stressed ...
An influential group of world financial leaders, which includes President-elect Barack Obama's adviser and former head of the Fed Paul Volcker, Timothy Geithner, who is ...
An investor tells IA Week he twice instructed his adviser to pull his funds out of the market. The adviser allegedly ignored the requests and ...
Don't let this one sneak up on you if you're at a registered hedge fund relying onthe custody rule's exemption in exchange for sharing audited ...
From all appearances, Marcus Schrenker lived the high life. The adviser piloted his own planes and ran three businesses, including an SEC registered investment advisory ...