Even before a new law granted immunity to advisers who undergo training to spot financial exploitation of the elderly (IA Watch, May 24, 2018), Nathan ...
The previously signaled next OCIE sweep exam scrutinizing how advisers protect their sensitive data will be kicked off sometime in the next year (IA Watch, ...
An SEC official recently said at an IA Watch conference that he was looking forward to using new Form ADV data to better target firms ...
If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff. ...
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies. The exam letter probes ...
Cornelius Peterson hands himself in next month to begin serving a 20-month prison sentence. His partner in crime, James Polese, learns his fate next month. ...
The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new ...
Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss ...
New Silk Route Advisors ($1.1B in AUM) in New York runs two Cayman Islands-based private equity funds that invest in India but its regulator resides ...
FINRA has a plan for cracking down on what it sees as a growing problem with churning: Change the rules of the game to make ...