You may well be among the millions of Americans shocked to learn of the widespread cyber hack of Equifax’s sensitive customer data to do what ...
Taking remedial actions have been shown to curry favor with SEC enforcement staff. The latest example of this comes with a strange twist. The ...
Staff at C.L. King & Associates, a New York-based broker-dealer, knew that the unidentified hedge fund manager who opened joint accounts with terminally ill persons ...
KMH Wealth Management CCO Phyllis Keller was thinking this past spring of clever ways to conduct a mock disaster recovery drill (IA Watch, March 30, ...
The SEC announced Aug. 31 that Dalia Blass has been named the director of the Commission’s Division of Investment Management. Blass, who is coming from ...
You’ll have until Sept. 14 to comment on the Labor Department’s new proposed rule that would delay its controversial full fiduciary duty rule until July ...
That new guidance from the SEC earlier this year about the custody rule has made its way to OCIE exams (IA Watch, Feb. 23, 2017). ...
Relying on your firm’s employees to self-evaluate and self-report the potential receipt of material non-public information and failing to adopt P&Ps ensuring they do so ...
If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year. That’s ...
You’ve had 90 days to get ready for a new rule you’re likely to embrace. The CFTC’s new recordkeeping rule takes effect Aug. 28, ...