Compliance
Mary Schapiro Takes New Findings On Former Top Lawyer's Madoff Conflict Of Interest "Very Seriously"
- Details Category: Regulatory
The head of the SEC, Mary Schapiro, is planning to follow through on all the recommendations found in a newly released internal investigation into the way the regulator's general counsel handled his connection to Bernard Madoff.
SEC Punishes RIA Firm That Allegedly Faked Its ADV To Look More Impressive
- Details Category: Books & Records
A California advisory firm has received a cease and desist order following an SEC investigation into its efforts to inflate its self-reported AUM and look bigger to prospects.
CFP Board Derides Arguments That Fiduciary Standard Narrows Investor Choice
- Details Category: Regulatory
The top spokesperson for the CFP Board is not a fan of broker-driven debate over whether the fidicuary standard will force smaller investors to manage their own accounts.
States Balking At Losing Control Of Smaller RIAs, But Rep. Bachus Is Already Thinking About That
- Details Category: Registered Investment Advisors
State securities regulators are publicly worried that efforts to push RIAs into a self-regulatory organization would render their own activities irrelevant.
Video: Congressional Panel On Advisor Regulation
- Details Category: Regulatory
If you'd like to watch yesterday's Congressional hearing on whether brokers should be fiduciaries and who should oversee registered investment advisors, here it is.
More Articles ...
- Project On Government Oversight Slams FINRA And Says Self-Regulation Is Not Real Regulation
- Mastermind Of Old-Fashioned Ponzi Scheme Sentenced To 14 Years In Jail
- Draft House Bill Shows Congress Is Leaning Toward An RIA SRO
- Washington State Broker Burned Through $4 Million In Client Funds While Living Large
