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 ...
A listing of hot SEC exam topics from 2007 - 2008.
A list of 10 topics investment adviser CCOs should consider when doing their annual reviews.
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 ...
No-Action Letter: xx (date, 2009) Investment Company Act of 1940 – Section 15(a) and 15(c) Fortis Group January 27, 2009 RESPONSE OF THE OFFICE OF ...
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 ...