An industry based on investing makes obvious the importance of valuation. The great recession exposed problems in valuing hard-to-value or illiquid assets, so the topic ...
Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...
This guidance update from the SEC's Division of Investment Management includes best practice suggestions for how firms can deal with cybersecurity.
Investment Company Act of 1940 — Section 6(b), Rule 6b-1 Tudor Employee Investment Fund LLC and Tudor Investment Corporation April 28, 2015 ...
SEC Halts Fraudulent Farm Loan Scheme by Indianapolis Investment Adviser
This is H.R. 1560 that passed the House in April 2015. It would strengthen the nation's response to the threat of cyber-attacks.
If you harbored any doubt that compliance staff can qualify for an SEC whistleblower award, remove it (IA Watch, March 26, 2012). Last week, the ...
With the Federal Register release of the Department of Labor’s new proposal revising the definition of a fiduciary under ERISA, you have until July 6 ...
If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you ...
The CFO fudged the numbers and can stay in that position. But he dropped his title as CCO after the SEC said he violated the ...