Compliance
Willie Gault Under Fire: Another Sports Pro Feels The Pain Of SEC Scrutiny
- Details Category: Regulatory
Mere days after feel-good Notre Dame hopeful "Rudy" Ruettiger settled SEC charges that he pumped his own stock, NFL legend Willie Gault is in regulatory trouble as well.
Outsourcing Compliance? 38% Of All RIA Firms Are Doing Just That
- Details Category: Registered Investment Advisors
Compliance is often expensive and difficult to justify as a full-time position in many RIA firms. As a result, the proportion of advisors farming out the compliance function to a third party has increased 33% over the last year.
Congress Scrapes Up Another $136 Million For The SEC, But Will That Ease The Regulatory Crunch?
- Details Category: Regulatory
The last-minute federal spending bill for 2012 represents a compromise that, like a lot of what we've seen in Washington this year, may not please anyone.
New SEC Commissioner Already Eager To Drag His Feet
- Details Category: Regulatory
Daniel Gallagher has only been one of the top officials at the SEC for about a month, but he's already eager to slow the pace at which the commission makes new rules.
Corzine Was An Active Anti-Regulation Lobbyist, But Remains Mystified How His Own Firm Bent Rules
- Details Category: Regulatory
The demise of Jon Corzine's trading firm MF Global may be one of those cases where the boss is so busy fighting everyone else's rules that he fails to enforce internal systems.
