The SEC advertised it would use analyses of performance data to spot outliers and bring enforcement actions for improper behavior (IA Watch, March 28, 2011) ...
Citing what it called "wholly inadequate" oversight of a faraway subadviser, the SEC last week fined and ordered repayment of advisory fees by Morgan Stanley ...
You should be able to take the new Form ADV, Part 1 for a test drive beginning today - if you want to see how ...
The final Form PF rule that garnered an unanimous vote by the Commission last week will contain numerous changes from the original proposal (IA Watch, ...
The latest regulatory requirement for buyout shops appears not to be as onerous as the industry had feared, lawyers who work with private equity firms ...
This past summer the IRS decided to halt issuing private letter rulings for investment companies that invest considerably in commodities. The companies seek the letters ...
This week the Commission "will consider whether to adopt" its proposed Form PF rule that would require hedge and other private fund advisers to report ...
The SEC's Division of Investment Management assured Morgan Stanley last week that it wouldn't recommend enforcement action if its investment advisory firm participated in an ...
There's wisdom in organizations creating a chief risk officer position and it may make sense for the CCO to wear this hat, too - but ...
We told you in July that - effective Sept. 19th - the SEC had hiked the thresholds for when advisers can charge performance-based fees (IA ...