The SEC actually brought fewer cases against investment advisers in FY 2009 than the year before, but the ones it did pursue touched many more ...
Sample opinions on the anniversary of the revelation of the world's largest Ponzi scheme - with the arrest Dec. 11, 2008 of one Bernie Madoff ...
The House took a major step toward financial regulatory reform Friday by passing The Wall Street Reform and Consumer Protection Act of 2009 by a ...
You have to take the good with the bad, goes the old saying. After a three-year hiatus, the SEC in January will reinstitute filing fees ...
Make iawatch.com your next stop to download a template for designing your annual review. The tool features three areas for the review: 1. Form ADV, ...
This list of recommended best practices comes from the Massachusetts Securities Division, but the advice can be helpful regardless of where your firm is based:1. ...
Recent months have featured a few of these cases, in which compliance staff at financial services firms have been cited for failing to keep a ...
All financial professionals who dispense investment guidance should be required to meet a fiduciary standard, according to 53% of brokers and 86% of investment advisers ...
Last month we shared 11 best practices for CCOs from an SEC regional director (IA Watch, Nov. 23, 2009). The first was to "understand what ...
Congress and the SEC must move ahead to harmonize investment adviser and broker-dealer regimes, extend a "meaningful" fiduciary duty standard to all and install "an ...