The modernization and simplification of required disclosures for investment advisers, investment companies and public companies was the order of business during the first open meeting ...
Lawmakers questioning CFTC Chairman J. Christopher Giancarlo Oct. 11 about his plans for the agency asked about cybersecurity, relations with Europe, FinTech and his regulatory ...
Under FINRA’s new senior investor protection rules, it’s clear that the new Trusted Contact requirement applies only to non-institutional customer accounts. But what about trust ...
The complication of answering new Form ADV Item 5.D. (clients) just evaporated. Count your clients the “way you normally” do, according to a new SEC ...
Louis Martin Blazer III billed his investment advisory firm as a concierge for professional athletes. But after OCIE examined the firm in 2013, it detected ...
Irony springs from the SEC ALJ’s decision to dismiss fraud charges against former investment adviser Lynn Tilton given that she had earlier challenged the constitutionality ...
Be sure you have a compliance P&P for alerting you when a transaction has cleared your CPO account. That’s a confirmed takeaway from a CFTC ...
Mike Lundy had run Primerica Financial Service’s office in Rapid City, S.D., for so long that it could have been assumed that everything was hunky-dory. ...
They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases ...
“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk alert. It points ...