Aiding and Abetting: How Client Wrongdoing Can Hurt You
Most financial advisors would refuse to aid and abet a client in breaking the law. But sometimes the situation isn't so clear-cut.
SEC, Industry Experts Issue Stern Warnings to CCOs
Chief compliance officers received a number of stern warnings on Thursday during the Investment Adviser Association’s annual compliance conference just outside Washington.
Investment advisors and mutual funds are prodding the Securities and Exchange Commission to revamp and curtail its use of its new two-year examination schedule called...