Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that killed 300 ...
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ...
We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortune ...
To Sam Edwards, it takes few words to explain how Dallas-based WFG Advisors perished after 15 years, landing in bankruptcy court where former clients are ...
It seems the way many CPOs/CTAs have computed their quarterly financial ratios reported to the NFA hasn’t added up. The NFA has released new guidance ...
The phrase better late than never comes to mind now that SEC commissioners have voted 4-1 to reopen the comment period on a 2012 proposal ...
FINRA is finally wising up to the potential of new technologies that assist firms in meeting their compliance obligations. Unfortunately, it is also leery of ...
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recommendations to ...
The SEC has settled with Voya Financial Advisors ($14.4B in AUM), citing the dual registrant’s poor cybersecurity controls in a case replete with lessons learned ...
It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to allegations ...