New Hire Roundup: Reinhart Joins Wealthcare Capital, Bowden Goes to SEC
This week in new hires, Len Reinhart joined Wealthcare Capital’s board, Andrew J. Bowden was appointed the SEC’s new associate director of advisor exams, and the Senate confirmed Luis Aguilar and Daniel Gallagher as SEC commissioners.
SEC Names Legg Mason Exec the New Associate Director of Advisor Exams
The SEC announced on Friday that Andrew J. Bowden has been appointed an associate director to lead the National Investment Adviser/Investment Company Examination Program in the SEC’s Office of Compliance Inspections and Examinations.
SEC verifying client assets
The SEC is giving a heads up to investment advisors, saying it is now contacting clients and other third parties to verify client assets managed...
SEC Verifying Client Assets
New exam procedure a reaction to Madoff scheme; Commission also preparing self-custody rule
Spring is here and with it, increased SEC regulation. All RIAs want to put their clients' interests first. If only compliance didn't cost advisors so...
SEC Director: Chief Compliance Officers Are Important
NEW YORK (HedgeWorld.com) -- Putting in place a competent and empowered chief compliance officer is one of the more important tasks facing hedge fund firms, said Gene Gohlke, associate director for investment company and adviser compliance at the Securities and Exchange Commission. With only nine months to the February 2006...
Playing by the SEC's Rules
Compliance is such a bogeyman for RIAs. Registered representatives have a compliance officer and branch manager to answer to. And, say what you will about...