Finding A Way.

Merrill Lynch Fined $1 Million for Failing to Arbitrate Employee Disputes

As we discussed last week, when advisers switch firms, it can often result in legal headaches. A recent action by the Financial Industry Regulatory Authority (FINRA) shows...

FINRA Outlines Top Enforcement Priorities for Broker-Dealers

The Financial Industry Regulatory Authority recently released its regulatory and examination priorities for 2012. The 16-page letter offers valuable insight into what examiners may be looking for...

SEC Remarks at Compliance Outreach Program Emphasize Role of Senior Management

As we mentioned in an earlier blog post, the Securities and Exchange Commission recently held a Compliance Outreach Program National Seminar in Washington, D.C. for investment advisers...

Are You Ready to Comply With the New Large Trader Reporting Rule?

This summer, the Securities and Exchange Commission adopted a new rule establishing large trader reporting requirements. The rule is designed to enhance the agency’s ability to identify...

Advisers to Private Equity and Hedge Funds: Have You Created a Code of Ethics?

As we have been discussing on this blog, under the new rules, many advisers to private equity and hedge funds are required to register as investment advisers...

Advisers Must File Form ADV By February 14

As part of the implementation of the Dodd-Frank Act, all investment advisers (including private equity, venture capital and hedge fund managers) with at least $25 million in...

Adviser Update: Will FINRA and the SEC Be the New Dynamic Duo?

Advisers can expect the relationship between the Securities and Exchange Commission and Financial Industry Regulatory Authority to get a little cozier, according to Richard Ketchum, chairman and...

FINRA: Merrill Lynch Adviser Cannot Solicit Former Clients for One Year

Advisers should be aware that changing firms could lead to legal headaches, particularly if you don’t plan ahead. In a recent case, the Financial Industry Regulatory Authority...

Newly Registered Advisers: What You Need to Know About Advertising

Many advisers to private funds will be registering with the Securities and Exchange Commission this year. That means they will be subject to all of the SEC...

SEC to Hold Adviser Compliance Seminar Tomorrow

The Securities and Exchange Commission will hold a national seminar to help chief compliance officers (CCOs) and other senior personnel at investment management firms enhance their investment...

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