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SEC: Regulators

Boston adviser learns value of good compliance officer
'Broken windows' gets industry workout
Peirce decries 'poorly conceived' rule
'Compliance, really, is a risk mitigation strategy.'
Case may be illustration of right place, wrong time
A New York private fund adviser didn’t bother to audit one of its foreign funds for nearly a decade, and then was months late getting ...
"Regulation by enforcement fails to provide the nuanced and comprehensive guidance that allows market participants to tailor their practices, and instead requires regulated entities to ...
'Repeated mistakes' in management calculations cost adviser
Dems, smaller funds covet same constituency
The commission’s proposals could cause fundamental shifts in standard practice and market structure, if turned into final rules.

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