F-Squared Investments co-founder Howard Present should have known better. Before founding F-Squared in May 2006, a long career in the development and marketing of mutual ...
Evolving technological innovation, ever-increasing cyber incidents and the constant need to secure consumer data all have financial services firms’ laser focused on their cybersecurity efforts. ...
The SEC is clearly living up to its pledge to focus on direct market access violations (IA Watch, Oct. 16, 2014). For the second time ...
A former Ameriprise Financial hedge fund portfolio manager has settled an SEC insider trading case, pushing her collective penalties for the illegal activity to close ...
Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But ...
Should you decide to “exclude disregarded private funds” under Instruction 7 of Form PF, you would not include the funds’ assets when reporting your regulatory ...
Two years ago, traders Todd Newman and Anthony Chiasson were charged with insider trading, allegations that eventually took down their firms – an investment adviser ...
As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector General is now ...
There’s been something of a push in the media to make limited partner agreements public, especially at public institutions. Sister publication peHUB laid out its ...
As the annual Form ADV amending season draws near, don’t forget that in addition to your clients and potential clients, you will have an equally ...