Cryptocurrency

It's recommended you train supervisors on how your firm uses expert networking consultants and how they can "escalate any material issues" to your leadership, SIFMA ...

The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...

It's not every day the SEC settles with a firm for $850,000 in a case that harmed no investors but hangs only on shoddy compliance ...

Click here to open a Word file that contains a peer's policy and attestation for employees to sign in an effort to prevent insider trading ...

Conducting due diligence on the network firm is critical

Fallout from the global financial crisis continues overseas as well. Last week the European Commission was expected to grant final approval for its Directive on ...

With insider trading very much in the news, you will want to consider a number of tips to discourage reps at your firm from engaging ...

There's disagreement over whether Massachusetts' new regulatory proposal governing IA relationships with expert networking firms would apply to firms outside the state, but it certainly ...

It's being called the "largest hedge fund insider trading scheme in history" and the once "high-flying billionaire and hedge fund manager" Raj Rajaratnam faces the ...

The suspect thought he was so smart he would use pliers to rip apart the evidence and then scatter the debris in the pre-dawn hours ...