IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam. ...
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursday ...
The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone. Marlon Paz used to work ...
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailing “effective practices” it has ...
New rules from the SEC regarding advertising and fiduciary duty. A rougher economy and more stock market turbulence. Political upheaval. Tougher OCIE exams of advisers ...
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.” This adage could apply to ...
A new legal settlement – fining Barclays Bank $15 million – recounts the extraordinary steps the firm’s CEO took to try to unmask two whistleblowers. ...
Failures in the anti-money laundering programs of UBS Financial and UBS Securities have resulted in triple jeopardy for the firms and a total of $15 ...
Haena Park showed so much promise. She couldn’t speak English when she moved to the U.S. at age 13 and yet graduated as valedictorian at ...
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not to ...