It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance ...
Testifying as part of a FINRA proceeding does not equate to providing information to the SEC, a federal judge held, declining to expand protections for ...
An advantage found in the SEC’s proposed interpretation of the IA fiduciary duty is that the legal concept now gets brushed together all in one ...
Several cites – including Atlanta, Denver, Houston and Miami – will soon be hosting “roundtables” featuring SEC staff and local retail investors. The idea is ...
A clear message went to private equity fund advisers this week: Keep your organizational docs current and be sure to inform your LPs of your ...
While the SEC’s proposed Regulation Best Interest runs hundreds of pages, you can score a quicker sense of it from the agency’s two-page summary of ...
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. ...
Eric Erb admits he was “tormented with shame and grief,” which drove him last year to direct his lawyer to confess his crime to authorities. ...
File this under the boys scouts’ rule to be prepared. If you’re a real estate adviser, know that some OCIE examiners may question your right ...
A targeted FINRA examination sweep—the first announced by the SRO for 2018—will focus on broker-dealers’ supervisory controls tied to products linked to the Chicago Board ...