You're encouraged - if you don't have one already - to come up with a written definition for risk that can be used across the ...
That recent no-action letter from the SEC loosening restraints on past-specific recommendations revolved around how to present your data (IA Week, Dec. 1, 2008). The ...
Scenario: Say your firm resides in Pennsylvania and one of your best clients moves to Massachusetts. Well, you better know about and comply with Massachusetts' ...
Congress may wish to authorize a new financial regulator to oversee systemic risk but it won't act with haste. "We've got to take our time. ...
Try this the next time you hold a session to remind staff of your firm's gifts and entertainment policy: Keep it short and fill the ...
Paul Katerndahl is the kind of compliance officer who keeps his door open, so when an employee brought up a concern, he listened and looked ...
The client had accumulated $100 million and sought the advice of JoeNagenast, president of Turnstone Advisory Group in Marina del Rey, Calif. He wanted to ...
Congress heard SEC Chairman Mary Schapiro vow to upgrade the way the agency handles whistleblower complaints and enforcement tips in light of the Bernie Madoff ...
A U.S. Court of Appeals has sided with the SEC in a case of accounting fraud for when the clock starts ticking toward the end ...
A federal judge in Texas March 5 ordered a trustee overseeing assets held by companies owned by Robert Allen Stanford to unfreeze about 12,000 investor ...