Raiding is one way to build your business—but it also has its downside. A FINRA arbitration panel in January ordered Robert W. Baird & Co. ...
Words are powerful. Take the custodian that, when notified that OCIE examiners were conducting an exam of an investment adviser, sent correspondence to the IA’s ...
Acing a test. Winning a game. Picking a great stock. Who’s beyond a little boasting when one succeeds? As tempting as this can ...
It’s going on three years since the SEC’s Enforcement Division filed charges claiming The Robare Group ($160M in AUM) in Houston failed to disclose revenue-sharing ...
It can be difficult shortly after New Year’s to think about next year but you should if the EU’s coming regulatory landscape, known as Markets ...
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. ...