If your firm awarded annual bonuses, in part, based upon an employee's adherence to its compliance rules, staff would take notice. The gesture would also ...
Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...
One senator characterized the "calamitous failure" to detect Bernard Madoff's alleged Ponzi scheme as the "darkest" chapter in the country's regulation of the financial services ...
One senator characterized the “calamitous failure” to detect Bernard Madoff’s alleged Ponzi scheme as the “darkest” chapter in the country’s regulation of the financial services ...
Even before the ink dried on the SEC's new final rule on indexed annuities, several insurance companies sued the agency over its attempt to regulate ...
The Senate last week confirmed FINRA CEO Mary Schapiro as the new chairman of the SEC, elevating someone who has called for beefed up enforcement ...
The advisory profession sustained another black eye with the mysterious disappearance this month of a 76-year-old Florida hedge fund manager who has apparently vanished with ...
The SEC set about last year trying to slay the rumor dragon, targeting the beast that employs false or malicious stories to manipulate securities. Given ...
The lessons from the failure of Lehman Brothers keep growing (IA Week, Nov. 11, 2008). The sad tale recounts the risks to counterparties who believed ...
One of the repercussions of the Bernie Madoff scandal could be an unleashed inspection staff at the SEC. "Clearly the SEC's been burned by the ...