Last Thursday the Senate passed historic financial reform legislation by a bipartisan vote of 59-39 (see how your Senators voted) without an amendment broadening a ...

Hedge fund managers may be watching their e-mail boxes with trepidation this week as the Financial Crisis Inquiry Commission sends a survey seeking confidential data, ...

Financial regulatory reform legislation would give the SEC the ability to end the standard industry practice of forcing upon upset investors mandatory arbitration to settle ...

Tightly control your reps’ ability to update their customers’ contact information – especially if they’re about to leave. Otherwise, you might suffer a fate similar ...

A global economy inspires far-flung partnerships but the rules spell out quite forcefully the bounds of behavior, and missteps can be punished severely.Advisers Act rule ...

You won't find any mention of fair allocation in the Advisers Act but the concept has evolved through SEC no-action letters and enforcement cases, and ...

The May 24, 2010 issue of IA Week Online.

The European Union earlier this week moved closer to placing wide-ranging regulations on the private equity industry that could make it difficult for U.S. firms ...

RIAs would not be considered to have custody of client assets simply by having the written authority to transfer client assets among different qualified custodians. ...

Last night the Senate passed historic financial reform legislation by a bipartisan vote of 59–39 (see how your Senators voted). This morning President Obama will ...