The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm ...
The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—whereby malicious parties design websites ...
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligence before ...
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording firms the option ...
Today’s advisers play in a whole different media landscape than their predecessors. Take Blackrock Financial Management ($833B in AUM) in New York. Its latest ...
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously. ...
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...
A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the ...
Five years after F-Squared imploded over the use of fraudulent marketing data, a second adviser seeks to keep its compliance consultant’s work from the eyes ...
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first ...