Last week, the GAO, in its Dodd-Frank study of financial planners, recommended educational efforts, confirmed that consumers are confused about the role of financial planners, ...
This is a big year for your firm if it claims compliance with GIPS standards. Every five years the CFA Institute updates its voluntary Global ...
Investors were told their funds would be placed in safe vehicles, like Burger King restaurant franchises and real estate. The SEC claims the president/CCO of ...
Congress can improve examinations of investment advisers by either permitting the SEC to impose user fees on advisers, allowing for the creation of one or ...
The SEC’s Division of Investment Management will have new leadership next month when Eileen Rominger takes over as director. She worked during the past 11 ...
Not only do you have a couple more weeks to share your thoughts on the Department of Labor's recent proposal to update its definition of ...
Summary of Investment Adviser and Broker-Dealer SEC Enforcement Cases FY 2010 v. 2009 Total enforcement actions against investment advisers increased significantly in fiscal year 2010, ...
If your firm uses a placement agent to lobby for New York City pension business, the agent may well have to register as a lobbyist ...
For years, the SEC has periodically reissued an expiring no-action letter for broker-dealers who rely upon investment advisers' customer identification programs (CIP) with nary a ...
Starting with each birthday after he turned 12, John Rogers, CEO of Ariel Investments ($5.1B in AUM) in Chicago, knew what his father would give ...