If you’re a U.S-based adviser who does or hopes to do any business in the EU, know that Europe’s coming regulation Markets in Financial Instruments ...
Five years after the SEC charged Ray Lucia over backtested performance claims, his case has sparked the Commission to ratify its five ALJs to “put ...
Laurence Gray and Robert Hubbard fought for years SEC charges that they misled Atlanta public pension fund trustees when they ran their advisory firm, Gray ...
It’s the gift that keeps on giving: the challenge of mastering the SEC’s custody rule. The puzzle takes a new turn with Form ADV season ...
The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on ...
FINRA’s latest exam sweep focuses on broker-dealers’ receipt of order routing inducements and potential conflicts of interest. The SRO is looking to determine the impact ...
Catherine Hetrick was hoping the new Form ADV, Part 1 would permit her to notice file for New Mexico and be done with it. Not ...
The new CFTC chairman has taken another shot at how his predecessors oversaw the swaps markets. Chairman J. Christopher Giancarlo traveled to a conference ...
Many signs point to the SEC upping their exams of IAs. Earlier this year, there was a prediction of a 25% increase in IA exams ...
OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade. In Observations from Municipal ...