SEC Names Asset Management Enforcement Co-Chiefs, Legislative Director
Julie Riewe, Marshall Sprung to jointly run unit in enforcement division, while Timothy Henseler will direct Office of Legislative and Intergovernmental Affairs.
Majority of Public Doesn’t Know RIA Model Exists: Advizent’s Goldman
Count on Charles Goldman to give it to you straight. The information he delivered made it abundantly clear why branding is so important.
Exclusive: Biggest SEC Enforcement Effort Is Advisor Misconduct
In exclusive interview, former SEC enforcement official Kaplan says agency had doubled actions against advisors to investment vehicles, especially private funds, with more scrutiny to come.
The Good and Bad of Fiduciary Delay
On Sept. 19, 2011, the Department of Labor (DOL) withdrew proposed regulations that would have updated and expanded the definition of advisors who are considered fiduciaries to a retirement plan.
401(k) Strategies Even the Lazy Can Love: ASPPA Summit
Workplaces that make employees opt out of retirement plans instead of opting in have 90% participation rates.
Social Media and You
Social media: Those two words have become ever present in our daily lives and it’s safe to say that, to some extent, a good portion of us use a social media outlet on a daily basis.
SEC Charges Three Advisors With Compliance Violations
The SEC on Monday charged three investment advisors for failing to put in place compliance procedures designed to prevent securities law violations.
SEC Appoints Heads of Special Units to Crack Down on Fraud
New Office of Market Intelligence will investigate tips and complaints