If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by ...
Imagine the examiners’ surprise when they showed up at the address of the CPO/CTA Synergistic Group in Frankfort, Ill., which was supposedly run by Principal ...
There were so many opportunities to spot early on the 12-year-long fraud perpetrated by John Rogicki, the former CCO and longtime employee at the now-shuttered ...
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the SRO ...
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s 529 ...
Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...
If your firm was being examined or about to be when the government shutdown in late December, expect that OCIE will be reaching out soon ...
First, thanks to those of you who recently took our online subscriber survey. Here are some of the results. Fully half of respondents stated ...
Look at it as a friendly divorce that welcomes into the marriage a new spouse. Most limited partnership agreements offered by private equity fund ...
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not noted in ...