RCW Staff

In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clients ...

The indictment alleges that Premock raised approximately $1.3 million from his clients by making numerous misrepresentations, including that the clients would earn high rates ...

Lindell obtained unauthorized control over funds designated for the purchases of securities by his client and diverted the funds to his personal use and/or ...

Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...

Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s jurisdictions. That alarm bell sounded in NASAA’s Investment Adviser ...

It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered IA population (IA Watch, ...

The reason that the Fund Complex has a CPO registration issue with respect to “A” is because “B” is used as a conduit for the ...

One issue that I would like to see the Division of Investment Management add to its agenda is the marketplace’s interest in gaining exposure to ...

One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is ...

his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces his readers to ...