Before you even start reading this, go to Outlook or whatever calendar…
Read MoreSEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments
Whether or not 2014 will be the year of the alternative investments,…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreSAC Capital, Insider Trading and the Southern District
It would be old news already if the case had not garnered…
Read MoreSEC Examinations Targeting Advisers Who Are Still Waiting for Godot
I have worked with a number of advisers who have never ever…
Read MoreThree Steps to an Effective Whistleblower Program
Everyone should have one. If you need more convincing, please read my…
Read MoreFINRA’s Conflicts of Interest Report: Bridging the Great Divide?
FINRA issued a report on conflicts of interest within the broker-dealer industry…
Read MoreTaking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…
Read MoreWhat Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
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