The performance software system will permit the advisory firm to easily send out quarterly statements to clients. But it comes with a price tag: $150 ...
The investor, a religious group, placed restrictions upon the investment adviser managing its account: buy no tobacco stocks. A purchase of Sara Lee securities seemed ...
If you don't do it already, you might want to consider encrypting any e-mails your firm sends that include customers' names in combination with something ...
In a year when some advisory firms have been embarrassed, sued and targeted by regulators for sloppy due diligence of business partners, it is worthwhile ...
The head of one RIA gambled on Google and lost big - $12 million in just two months, according to the SEC - and the ...
Here's a model of behavior that's worth contemplating, especially considering the source: David Bergers, the director of the SEC's regional office in Boston. He recently ...
The struggle to find a compliant privacy notice to give clients ended last week, as the SEC and seven other federal agencies finally agreed to ...
Tucked inside Sen. Christopher Dodd's (D-Conn.) massive financial regulatory reform bill you'll find provisions that would encourage more states to adopt the North American Securities ...
The SEC's Office of Compliance Inspections and Examinations should revise its risk-scoring system for investment advisory firms, inform these ratings with additional information from other ...
The cases keep coming. In the weeks since the news splashed about the arrest of billionaire Raj Rajaratnam at Galleon (IA Watch, Oct. 16, 2009), ...