This is the week the SEC is to deliver to Congress its so-called section 914 study (IA Watch, Dec. 13, 2010). Many believe the Dodd-Frank ...
Last week's $119 million settlement between the SEC and Charles Schwab Investment Management ($204B in AUM) in San Francisco supplies a virtual scorecard for needed ...
If you're like most advisers, you're nowhere near finishing your plain-English Form ADV, Part 2 brochure. Book extra time, turn to colleagues, use a template ...
A central theme develops from many of the comments received by the SEC in its latest effort to weigh reforms to money market funds. The ...
Be alert. You might be required to register as a municipal advisor even if you don't really consider yourself one (IA Watch, Dec. 20, 2010).The ...
2011 Regulatory Calendar for RIAsCompliance DeadlineRegulatory RuleJan. 1, 2011Safe harbor ends for certain wording within privacy notices (IA Watch, Dec. 13, 2010). Jan. 1Enforcement begins ...
It wasn't long after a hammered gavel sounded in a new Congress last week that a bill was introduced to repeal the Dodd-Frank regulatory reform ...
The prospect of managing California's massive CalPERS pension fund lures advisers from around the world. But a new regulation that took effect this month requires ...
Hundreds of advisers of pooled investment vehicles that seek the custody rule's annual audit exception will be pushed to find new auditors because their CPA ...
SIFMA calls the SEC's decision to grant advisers four extra months to deliver their brochure supplements to clients "appropriate and necessary," but not all advisers ...