Now the legal spotlight has shifted to Bernard Madoff's brother, Peter, who worked for decades at Bernard L. Madoff Investment Securities - including as CCO. ...
In testimony March 26 before Congress, Treasury Secretary Timothy Geithner called for the creation of an independent regulator to monitor systemic risks, higher capital standards, ...
Registered investment advisers who serve as pension consultants and "adequately disclosed their conflicts of interest" oversaw higher returns than their counterparts that "failed to disclose ...
Valuation bedevils firms, so why not turn to a tool that can help you document your process and feel as comfortable as you can these ...
Just weeks after the SEC warned to be on the lookout for bogus examiners (IA Week, March 9, 2009), one apparent investor took the law ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
You can download a couple of new SEC document request letters. One is a 17-page document that originated in the SEC's San Francisco regional office. ...
Past efforts by Congress to find out how the SEC missed master-scammer Bernie Madoff for so many years have been greeted with tight lips, as ...
If your firm employs multiple clearing companies you may find one of them would gladly dish out attractive incentives for you to make it the ...
Citing the recent surge in the number of registered investment advisers, SEC Commissioner Elisse Walter testified this month before the House Financial Services Committee asking ...