It’s difficult for regulators to keep up with change, especially in the information age. But CFTC commissioners have unanimously voted to propose updating its books ...
Even as a new Administration takes office that many believe will bury the Labor Department’s controversial fiduciary duty rule, the industry is poring over a ...
New items you’ll find in OCIE’s list of 2017 exam priorities include robo advisers, an expanded never-been-examined effort, money market fund advisers, “financial exploitation” of ...
Leaders of a New York-based private equity adviser are used to judging the value of potential portfolio companies. They hired an IT company and then ...
If your firm is following the trend of more IAs opening up branch offices, you’re advised to develop compliance P&Ps for monitoring the locations. ...
President-elect Donald Trump has announced that he plans to nominate Sullivan & Cromwell partner Jay Clayton to chair the SEC. The announcement states that ...
Few things energize the idea factory like a New Year. Here are goals your compliance peers have set for 2017. Consider cybersecurity insurance. “I ...
On the surface, it certainly seems that James Winkelmann either runs into bad luck when selecting business partners or he’s a poor judge of character. ...
Two years after David Zier, the former CEO of Convergent Wealth Advisers ($4.6B in AUM) in Potomac, Md., took his life after questions were raised ...
FINRA has been relatively patient as firms have built their cyber defenses even as a growing number suffer devastating attacks. But there is a line, ...