Karen Silkwood, John Dean and Linda Tripp are just some of the names that come to mind when recalling famous whistleblowers. The SEC receives thousands ...

Everything old is new again, as seen in the Commission's unanimous vote last week to propose a rule targeting investment advisers that provide or encourage ...

While SEC examiners will inquire how your firm handles trade errors, there is no formal rule spelling out your obligations. However your responsibilities stem from ...

The July 27, 2009 issue of IA Week Online.

A compliance log in an Excel format provided courtesy of Christina Sears, CCO at American Beacon Advisors in Fort Worth, Texas. This tool contains separate ...

You can make your voice heard - or rather tack your name onto a growing list of those urging Congress to mandate an "authentic" fiduciary ...

Over time we've shared many current SEC document request letters with you. The latest one, courtesy of one of your peers, diagrams the hot topics ...

Despite some bills in Congress that would mandate the registration under the Advisers Act of advisers of hedge funds and other private funds (IA Week, ...

Be cautious about accumulating too large a pool of soft dollar credits. You could see them vanish in a flash, or be accused of not ...

Reports indicate the SEC's new Director of Enforcement Robert Khuzami has shuffled around the division, including setting up units with special expertise. He may be ...