Analysts predicted earlier this year that an uphill battle awaited a retiree who lost nearly her entire life savings to Bernard L. Madoff Investment Securities ...
So you want to do business in Europe? It's a trend for investment advisers to pursue new business around the globe. But know the hurdles ...
Reports indicate RIA Pacific Corporate Group of La Jolla, Calif., helped steer California Public Employees' Retirement System (CalPERS) toward investing in two private equity funds ...
Two unidentified regional SEC attorneys in the Enforcement Division eagerly await a report coming from SEC Inspector General David Kotz (IA Watch, Dec. 7, 2009). ...
The SEC treats larger brokerage firms that get into trouble better than smaller firms, says a Harvard fellow who has investigated nearly four years of ...
Videos, password-protected views of current holdings, customized client pages, tax and college calculators and targeted articles. These are among the innovations your peers are introducing ...
Financial regulatory reform from Congress tops the list of predictions for your New Year. As one compliance officer in New York put it, whatever lawmakers ...
IA Watch makes available our 2010 Compliance Calendar to our subscribers. Download it to your current calendar application. And it's easy to do, simply follow ...
Just days before temporary Advisers Act rule 206(3)-3T was due to expire, the SEC issued a final rule this month that pushes the sunsetting of ...
If your firm sold investors on the investment management program ESI Illuminations Select, you'll take interest in the legal settlement last week between the SEC ...