NEWS & GUIDANCE
If you harbored any doubt that compliance staff can qualify for an SEC whistleblower award, remove it (IA Watch, March 26, 2012). Last week, the agency awarded an unidentified “compliance officer” up to $1.6 million for information that helped the agency resolve an enforcement action.   As much as t...
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With the Federal Register release of the Department of Labor’s new proposal revising the definition of a fiduciary under ERISA, you have until July 6 to share your comments about the proposal with the DOL (see related story).   The DOL also released details on six new or revised exemptions tied to t...
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If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you now have a scorecard of what to expect if examiners come. OCIE has released a new risk alert that states what examiners will focus on.   The hot topics include com...
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