From Morgan Keegan to William Morgan, CCOs have felt the lash of late from regulators who believe the officers ran afoul of the rules. Nothing ...
The biggest risk for firms when it comes to soft dollars is failing to disclose they engage in these arrangements when they do. Compliance staff ...
When FINRA examiners recently showed up at Tessera Capital Partners in New York, the CEO noticed a big difference compared with her exam experience four ...
Those surprise audits called for by the SEC's revised custody rule by definition dictate that you won't know when they'll occur but this doesn't mean ...
Last week the SEC cited a broker-dealer subsidiary of Goldman Sachs for violating Rule 204T of Reg SHO, which sets deadlines for closing out fails-to-deliver ...
The government may be doing your marketing. The Government Accountability Office last week released a report that paints a rather dismal picture of retirement for ...
You know the SEC may well contact your clients about the safety of their assets during exams (IA Watch, March 23, 2009). Now the Commission ...
It's too early to determine if financial regulatory reform legislation currently working through the Senate will include an amendment to criminalize fiduciary duty violations. Last ...
Where were you when the market collapsed....With memories of the 2008-09 market free-fall fresh - and certainly no one hoping it repeats - you can ...
IA Watch has obtained a memo written by two employees of PriceWaterhouseCoopers after conducting some due diligence on the Bernard L. Madoff Investment Securities firm ...