The May 10, 2010 issue of IA Week Online.
This is a sample list of documents you may wish to consider for your annual review, from one of your peers.
A copy of a PriceWaterhouseCoopers memo produced after a review of the Bernard L. Madoff Investment Securities firm.
The SEC has placed on its Web site a compliance guide to its new short sale price test under Reg SHO. It provides a clearer ...
SEC Commissioner Elisse Walter last month openly called for the creation of an SRO for advisers. Speaking at an industry conference, she also questioned proposals ...
Here they come again - more failure to supervise cases, including one against a CCO for neglecting to take appropriate action to investigate red flags ...
The Chicago Cubs might win the World Series before you see a final rule on Form ADV, Part 2 - and they've been waiting 102 ...
The Senate showdown last week with seven current or former Goldman Sachs employees included questioning about whether the firm was or should be under a ...
Keep a log of the marketing materials your firm sends out, including presentations. List who's giving the presentation, the audience, the date, whether the audience ...