SEC to CCOs: Don’t Ignore These Issues
Regulators are scrutinizing custody rule violations, cybersecurity, dually registered advisors and more.
How the SEC Plans to Be ‘Everywhere’
Despite limited resources, the agency is leveraging its strengths to zero in on advisors’ smallest infractions.
SEC Crackdown Nabs 3 Advisors for Shoddy Compliance Programs
Sanctions came a day after SEC chief Mary Jo White said that the agency was going after advisors who ignored repeated warnings.
SEC’s White: Compliance Pros Acting Lawfully Should Not Fear Enforcement
SEC Chairwoman Mary Jo White aims to reassure CCOs, but an ex-exam chief says "the proof is going to be in the cases they bring."
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up
Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
Likely on Its Way: Greater Compliance Burden for Advisors
A little historical perspective on investment advisor registration: past is prologue.
New Hire Roundup: Prudential’s King Named SVIA Chair; Cambridge Promotions
This week in new hires, James King of Prudential Retirements Stable Value Markets Group was elected as SVIA chairman of the board, and Cambridge announced several internal promotions.