News

Q&A: Karen Barr, CEO, Investment Adviser Association

The head of the IAA outlines the group’s priorities and concerns

Jason Bisnoff 4 hours ago

G-7 guides on cyber assessments

Officials recommended using multiple tools, rather than a single method

Peter Rawlings 4 hours ago

Firms advised to prep cyber information sharing plans

Consultant says firms too often get caught unprepared for an attack

Jason Bisnoff 17 October, 2017

Chicago firm fined for failing to update policies and procedures

FINRA also said Phillips Capital didn’t enforce existing WSPs

Peter Rawlings 17 October, 2017

Industry strives to halt margin on FX hedges

The last-minute appeal asks for the policy to be reconsidered

Stan Wilson 16 October, 2017

Consultant sees third-party CCO use rising

Facing greater regulatory burdens, more firms are outsourcing

Jason Bisnoff 16 October, 2017

Fund-related bills set for hill action

Bills related to derivatives, elderly investors and cybersecurity, ready for markup

Stan Wilson 13 October, 2017

C-suite steps up compliance involvement

Cyber attacks have increased execs interest in stemming regulatory risks

Jason Bisnoff 13 October, 2017




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