SEC commissioners acted Feb. 21 to push back the start of its liquidity risk management rule from this December to June 2019. The motive was ...
The whole culture changed at Phoenix’s Alpha Fiduciary ($401M in AUM) after the RIA settled an advertising enforcement action that held the firm “failed to ...
The wild west of FinTech may have to be corralled before innovations like Blockchain or distributed ledger technology enjoy the widespread use its proponents imagine. ...
FINRA wants to make it much harder for you to get customer dispute information removed from its public registration system. Your peers are doing all ...
The credentials heralded by the hedge fund adviser principal were certainly impressive—an MBA in finance from Dartmouth, a prior portfolio manager with Bear Stearns, a ...
Bob Dylan once sang “something is happening here but you don't know what it is.” That line comes to mind as CFTC Chairman J. ...
All this story’s missing is the screenwriter. The real-life characters include a failed politician turned skillful fraudster. He heads to prison next month. Add ...
Merrill Lynch’s decision late last year to pay $26 million to settle allegations relating to its anti-money laundering program shows the problems large firms face ...
Mark Twain famously stated that there are three kinds of lies: “lies, damned lies, and statistics.” That saying comes to mind with news that CFTC ...
If a material change occurs at your firm that triggers a prompt update of your Form ADV, be ready to encounter many more new questions ...