It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their ...
After the FBI busted Kevin Merrill and his Ponzi scheme last September, the Maryland man used handwritten notes flashed to his wife on the other ...
Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...
The bell for round 2 of the SEC’s liquidity risk management rule rings June 1 for mutual funds with more than $1 billion in assets. ...
Come July, Richard Cody will report to federal prison to begin serving a two-year sentence for investment adviser fraud. But his elderly victims will never ...
In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in April ...
Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional investors aren’t ...
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator. The Commission is proposing simplifying registration and ...
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest speech from ...
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. ...