Here’s the scenario: Your firm hires a new portfolio manager whose history makes him look like the Wall Street version of a titan. The marketers ...
For the second year in a row, SEC enforcement actions against investment advisers and investment companies have dropped, according to new data from the Commission. ...
Depending on the size of the private fund marketed into the European Union, this could be the week for your firm to have to file ...
Practices for picking up the check for expenses related to annual meetings and other costs vary widely between middle-market firms grappling with increased oversight by ...
Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items contained within OCIE’s just-released 2015 ...
One of the more surprising topics absent from OCIE’s new and shortened 2015 exam priorities list is custody. That issue has drawn examiners’ glare since ...
F-Squared Investments co-founder Howard Present should have known better. Before founding F-Squared in May 2006, a long career in the development and marketing of mutual ...
Evolving technological innovation, ever-increasing cyber incidents and the constant need to secure consumer data all have financial services firms’ laser focused on their cybersecurity efforts. ...
The SEC is clearly living up to its pledge to focus on direct market access violations (IA Watch, Oct. 16, 2014). For the second time ...
A former Ameriprise Financial hedge fund portfolio manager has settled an SEC insider trading case, pushing her collective penalties for the illegal activity to close ...