Examinations

Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...

Phone records are behind the SEC's first case involving allegations of insider trading of credit default swaps by a hedge fund. The agency has charged ...

Copy of agenda and CCOutreach materials from SEC for 2009 meetings.

A 2009 SEC document request list from an exam of a dually registered investment advisory and broker-dealer.

The SEC has announced that it will hold new IA CCOutreach seminars beginning May 11 and ending in July in 10 cities stretching from Miami ...

At least four separate communications to the SEC raised concerns about Bernard Madoff as early as 2003, according to internal agency documents obtained by IA ...

The OCIE examiners showed up in January requesting documents from the registered advisory firm Acorn Capital Management of Kennett Square, Pa. The firm's owner and ...

When conducting due diligence, you certainly could start by calling a party's references, but don't stop there. The wiser course would be to look over ...

More than 60 brokers who worked for the Stanford Group Company– which included RIA Stanford Capital Management– are being sued by the receiver in the ...

Compliance officers face an obligation each year to review their firm's policies and procedures. While RIAs are under no legal obligation to produce an annual ...