IA Latest News

The SEC is reaching out to you again to give you additional resources to help you master the special challenges that can come with serving ...
The Commission is making clear that recent money market reforms that take effect next month (IA Week, Feb. 1, 2010) will not vanquish a key ...
Congressional legislation may energize the SEC's program to entice whistleblowers to come forward if new suggestions from the agency's Office of Inspector General don't. IG ...
The owners of the RIA act as trustees to the firm's 401(k) plan. However, this in and of itself wouldn't subject it to the new ...
Granted the stock market this time last year was rebounding from its lowest point during the financial crisis, but new data from RIAs demonstrate how ...
A two-year investigation by multiple regulators centered around valuation has ended with civil charges filed by the SEC, FINRA and state authorities, including against two ...
If you haven't had the experience yet, chances are there'll be a day when you must stand before a board of directors. Here are some ...
Design policies and procedures that will enable your firm to monitor the national best bid on a real-time basis, the SEC says in the final ...
Spring is the time of renewal so let's sample how your peers have spruced up their compliance programs of late.Track performance outliers. Technology comes up ...
A two-year investigation by multiple regulators culminated today with SEC, FINRA and state charges against an RIA, a portfolio manager and an accountant related to ...
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