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, ...
The recipe’s as simple as baking Christmas cookies: do what you’ve promised investors in writing that you’ll do. Violating this simple rule cost private ...
Do you have written supervisory procedures for IRA rollovers? If not, you aren’t alone. One in five advisors and broker-dealers recently examined by the SEC ...
‘Tis the season for joy – and it seems OCIE exams of advisers. We’ve heard the same thing from many people across the country over ...
Richer detail, more examples and even longer lists illustrate how private equity fund advisers have reacted to the SEC’s intense interest in disclosures around fees ...
Now that the presidential election is behind us (we think), it’s a good time to vote on whether your pay-to-play P&Ps measure up. Pershing ...