A new study finds only 17% of respondents expressed that they were very satisfied “with the effectiveness of their compliance program.” Nearly half (45%) stated ...
The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a ...
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity fund advisers to carry a name matching ...
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten ...
After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S. You’ll find ...
The requirements placed on Chardan Capital Markets CCO/AML director were clearly spelled out in the New York-based brokerage firm’s anti-money laundering policies and procedures. The ...
May 9's Federal Register contains the three SEC proposals tied to fiduciary duty. Each of them carries the same deadline for your comments: Tuesday, Aug. 7 ...
The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (PF ...
It took only one day after the U.S. Court of Appeals for the 2nd Circuit in New York ruled May 2 in favor of Jesse ...
Only a small percentage of CCOs are compensated or employed by a firm different from the RIA they work at, according to new Form ADV ...