A list of Bernard Madoff's clients from New York bankruptcy court case.
Securities Exchange Act of 1934 Section 14 and Rule 14a-8(i)(7) American Capital, Ltd. February 5, 2009 Cydonii V. Fairfax Two Bethesda Metro Center, ...
No-Action Letter: Capital Trust, Inc (February 3, 2009) Investment Company Act of 1940 — Section 3(c)(5)(C ) Capital Trust, Inc February 3, 2009 RESPONSE OF ...
A tool to help you track compliance issues within your firm.
Last week the North American Securities Administrators Association urged Congress to return to state regulators the ability to go after banks for security violations and ...
New SEC Chairman Mary Schapiro favors the registration of hedge funds, wishes to bring CDOs and other such securities under the giant regulatory tent, supports ...
You can find dozens of new compliance answers to nagging questions on two updated Web sites from the Commission. One Web site offers answers to ...
Daniel Fisher wants his old job back. Last month the financial consultant persuaded a Labor Dept. administrator that Fisher's employer, Wells Fargo, had retaliated against ...
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 ...