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The report found “significant failures” caused primarily by “systemic, longstanding, governance-level weaknesses” that can’t be addressed “without commensurate governance reforms”
With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The ...
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new heights. NASAA’s annual ...
According to its newly-published IRS-990 form, the Investment Adviser Association’s revenues in 2017 grew 6.4% over the previous year. At the same time, its payroll ...
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previous year, ...
Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department of ...
The CFTC can tweak its rules to create a “clear and predictable” regulatory approach that would resolve problems of “market fragmentation” and promote the international ...
Only part of the Labor Department’s controversial fiduciary duty rule took effect in June and the Consumer Federation of America says brokers are either rampantly ...
Between crowdfunding portals and slimmed-down rule books for specialized brokers, FINRA has been easing regulations related to capital-raising. And more may be on the way. ...
In March, as part of a top-down review launched by CEO Robert Cook, FINRA sought public comment on its “engagement” programs (BD Watch, March 23, ...
Once again you’re being asked to share your comments about standards for financial professionals, but it’s not by the SEC this time (IA Watch, June ...
As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Investment Adviser Association ...
At a time when Republicans hold the trump card in Washington, regulators are on the defensive. But they are not giving up, either. Witness the ...
We often witness the devastation suffered by victims of securities fraud. Whether fraudsters cold-called their victims to peddle their fraudulent “investment opportunities”, or sat ...
It may have taken three years of lobbying for the industry to wrest out of the SEC new guidance around custody (IA Watch, Feb. 23, ...
This week, the CFA Institute’s executive body will weigh a proposal to change the GIPS’ rules to accept a mutual fund’s existing regulatory disclosures as ...
Here’s one top industry official’s prescription for managing your business in 2017: Hope for the best and prepare for the worst.   Translation: Hopes for ...
The Public Investors Arbitration Bar Association has once again assailed FINRA’s BrokerCheck system for key information omissions. Two-and-a-half years after issuing an initial report critical ...
The percentage of salary growth may have topped revenues’, but the latest Form 990 report from the Investment Adviser Association attests to vigorous growth under ...
Investment advisers have never served more clients (36 million) nor managed more assets ($66.8 trillion), and the industry displays strong jobs growth spanning small to ...
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