The business community has put its stamp on reforms it would like to see within the SEC in a 92-page report, Examining the Efficiency and ...
The first memo from the compliance department was sent up the chain of command in 2003. The next year, two new compliance officers for the ...
Disgraced former RIA Bernie Madoff last week sought to move past SEC civil charges as he prepares for the much bigger stakes within the criminal ...
The ink's not even dry on proposed bills that would register hedge funds and analysts are already warning the legislation would catch many more entities ...
Taking a look at regulations affecting investment advisers and broker-dealers. Reforming credit rating agencies. Beefing up enforcement. Applying a costs-benefits analysis to regulations. Empowering shareholders.One ...
You should expect the SEC to show its teeth following the embarrassment around the Madoff scandal. An early indication of this new attitude came from ...
SEC rules for what type of securities are required to be reported are fairly clear. But what about securities received as gifts?Certain closed-end funds, IPOs ...
More than 13,000 names make up the list of supposed clients of Bernie Madoff, including several registered investment advisers.Many tell IA Week it's because they ...
Firms could try to use attorney-client privilege to avoid disclosure of mock exams or compliance audits. The maneuver has to be legitimate, though, and even ...