Regulatory

SEC announces fraud charges tied to CLO funds

The Securities and Exchange Commission has announced fraud charges against an investment adviser and her New York-based firms.

By Staff |March 30, 2015

2 min read

Report slams advisors for marketing as fiduciaries

Marketing materials of top U.S. brokerage firms strongly imply advisors act as trusted fiduciaries; but when disputes arise and they appear in arbitration proceedings, they’re quick to point out no such fiduciary responsibility exists.

By Staff |March 26, 2015

1 min read

7 pre-audit tips

When notified of an upcoming audit, the best thing to do is prepare.

By Staff |March 20, 2015

1 min read

SEC boss answers claims regulator’s soft on big banks

SEC chair Mary Jo White has addressed criticisms the regulator isn’t as harsh with the big banks as it should be, reports the New York Times’ DealB%k.

By Staff |March 12, 2015

1 min read