Today's News
BREAKING NEWS
The Washington Post reported Thursday that an attorney in SEC's Office of Compliance Inspections and Examinations raised warnings as far back as 2004 that Bernie Madoff's business didn't add up. Her supervisor deflected her to investigate other matters that were hot at the top. The supervisor's supe ...
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Today's News
NEWS & GUIDANCE
You'll be busier than ever responding to an announced SEC exam - one more outgrowth of the agency's reaction to the scandals of the last year. And look for a future rule from the SEC designed to improve the agency's surveillance of firms and revise its risk-based matrix that's used to pinpoint which ...
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If your firm switches from not having to having discretion over client accounts then it also falls under the compliance obligations of the proxy rule.Draw your attention to Advisers Act rule 206(4)-6, known as the proxy voting rule. It requires that firms have written policies and procedures, that ...
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Expect a proposed SEC rule in the next few days, which you'll be able to comment on, that seeks to bring more transparency to proxy voting. The Commission approved three changes last week that deal with executive compensation, governance disclosure and discretionary voting. The latter proposal may a ...
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