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Class Action Waivers in Arbitration Agreements: Where Do We Stand? thumbnail

Class Action Waivers in Arbitration Agreements: Where Do We Stand?

A FINRA arbitration panel recently upheld Charles Schwab & Co.’s arbitration agreement that required customers to waive their rights to file a class-action lawsuit, despite the fact...

Are More Private Equity Enforcement Actions On the Horizon? thumbnail

Are More Private Equity Enforcement Actions On the Horizon?

The SEC has traditionally targeted private equity funds far less than hedge funds when it comes to enforcement.  That may be about to change. In recent remarks...

The SEC’s 2013 Priorities: What Should Broker-Dealers Be Worried About? thumbnail

The SEC’s 2013 Priorities: What Should Broker-Dealers Be Worried About?

Last week, we talked about the helpful heads-up that the SEC provided to investment advisers and investment companies in its recent release of exam priorities for 2013....

Adviser Compliance for 2013, Part III:  Make Sure Your IARD Account Is Funded thumbnail

Adviser Compliance for 2013, Part III: Make Sure Your IARD Account Is Funded

Before you submit your annual ADV updating amendment, the Investment Adviser Registration Depository (IARD) requires that a firm have enough funds deposited in its Daily Account to...

The SEC Gives a Heads-Up: Investment Adviser Exam Priorities for 2013 thumbnail

The SEC Gives a Heads-Up: Investment Adviser Exam Priorities for 2013

The SEC posted its examination priorities for 2013 on its website on Thursday last week. They address market-wide overall themes, investment advisers (IAs)/investment companies, broker-dealers, clearing and...

How Can Hedge Funds Prepare For Tougher Oversight? thumbnail

How Can Hedge Funds Prepare For Tougher Oversight?

The SEC has made it clear that hedge funds will continue to be a top priority for its Enforcement Division. In addition to outlining the agency’s priorities,...

Time to Calculate Your Assets Under Management and Check It Twice thumbnail

Time to Calculate Your Assets Under Management and Check It Twice

Registered investment advisers are required to update their Form ADV Part 1 and 2A within 90 days of their fiscal-year end. For most advisers, the deadline is...

Adviser Compliance for 2013, Part II: Annual Privacy Notices thumbnail

Adviser Compliance for 2013, Part II: Annual Privacy Notices

In this heightened enforcement environment, it is increasingly important for advisers to meet all of their annual compliance obligations. Under Regulation S-P, advisers, brokers, and investment companies...

Will New SEC Head Mary Jo White Offer Fresh Perspective?

President Obama recently tapped Mary Jo White to head the SEC. In doing so, he made it very clear announcing the nomination that enforcement will remain a...

FINRA Enters Crowdfunding Mix

While the crowds are waiting for the SEC to act, FINRA is taking steps to prepare. It recently issued a voluntary Interim Form for Funding Portals designed...

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