When Victoria Hogan served as an SEC examiner, she always took away a good impression of a firm's due diligence efforts when it could produce ...
This could be the story of the year for compliance staff to clip and show their bosses. The SEC last week began a failure to ...
Perhaps it was the summer time but fails to deliver securities fell 25% compared with the second quarter of 2009, according to an IA Watch ...
As Congress begins to dig its hands into the Investor Protection Act, the fight over a fiduciary duty definition heated up last week with a ...
The notion of "mixed use" under soft dollars dates to 1986, although some firms remain confused about what fits within the safe harbor. Ironically, some ...
The nation's biggest public pension fund is taking a critical look at fees paid to a placement agent headed by a former board member.The California ...
Should the SEC adopt its pay to play proposal ( IA Watch, Oct. 12, 2009), advisory firms should consider adopting best practices, such as adding ...
Investors will be helped by Congress codifying a fiduciary duty for broker-dealers who provide investment advice, just as they would be with the SEC's proposed ...
One way to quiet muttering over compliance training is to include the boss of the staff on your committees.This was one tip emerging from a ...
Citing "serial, gross negligence" by the SEC in failing to uncover the Madoff scandal, two former clients of the Ponzi schemer are suing the Commission ...