Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...
Bernard Madoff's largest feeder fund, the Fairfield Greenwich Group, defends its due diligence of Bernard L. Madoff Investment Securities (BMIS) and criticizes Massachusetts securities division ...
It looks as though among the legislative changes the SEC will ask of Congress will be expanded authority under the Advisers Act to "seek penalties ...
Please don't interpret this story as one more example of the news media hawking fears of swine flu. While the news saturation of the new ...
The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...
The tables weren't circular but the discussion was lengthy at the SEC's roundtable on short selling last week, in which speakers gave Commissioners various opinions ...
Investments in mutual funds in 2008 dropped 20% to $9.6 trillion from $12 trillion the previous year. The numbers for closed-end funds and UITs suffered ...
In reforming financial services regulation, Congress should set up a new oversight board that would report to the SEC and be responsible for setting and ...
Tougher rules regarding custody, surprise exams by CPAs and a mandated, independent compliance audit are among the proposals the SEC is considering, says Chairman Mary ...
A widening probe of fraud tied to New York's largest pension fund has snagged Saul Meyer, who founded one RIA and has ties to another. ...