A quality compliance program must have discipline. "I think it's hard to claim that if you're not working from some kind of [compliance] calendar," believes ...

Securities lawyers had varying opinions on the impact of last week’s federal appeals court decision that prohibits FINRA from using the courts to force rule-violators ...

The October 10, 2011 issue of IA Week Online.

    Investment Company Act of 1940 — Section 17(a), 17(d) and Rule 17d-1 Morgan Stanley Institutional Fund of Hedge Funds October 7, 2011 RESPONSE ...

This is an SEC proposal made in 2011 dealing with prohibiting conflicts of interest in certain securitizations.

A peer shares here a Word file that is a quarterly compliance attestation that employees are required to sign. This is a best practice to, ...

This is the 2011 Form ADV, Part 2a brochure for iCapital, a Boston-based RIA that largely serves qualified retirement plans, pension and profit sharing plans.

The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...

Industry proponents are applauding the Department of Labor's decision to "re-propose" its plan to redefine the definition of a fiduciary under ERISA for the first ...

A new FinCEN report that analyzes suspicious activity reports (SARs) finds identity thieves prefer to target existing accounts rather than set up phony new ones. ...