What’s the likely future for the fiduciary duty rule? Will the SEC cooperate with the Labor Department on a uniform standard? These are among the ...
We have often recounted the painful downside of inadequate AML systems (BD Watch, March 16, 2017). Here’s a little good news in the form of ...
Larry Gray was in a hurry. The investment adviser had counseled the Atlanta General Employees Pension Fund board for years. Now, given a change in ...
Signs point to the CFTC going ahead with its new requirement that firms alert the Commission if they qualify for an exemption from the new ...
For all the chatter about cybersecurity, industry practices are still falling short. Take access management. Firms, big and small, continue to struggle “even ...
This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering ...
One must be pretty bad in the compliance role for the SEC to bar a person from serving as CCO. In a new settlement, ...
FINRA’s focus on high-risk brokers and the payment of arbitration awards by firms and individuals continues at the SRO. On the heels of a July ...
You can assume Andrea Sayago’s busier than the average CCO – given that she’s the named CCO for 11 RIAs. Like Sayago, Cheryl Vohland’s ...
Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to ...