SEC Amends Rules On Adviser Custody

Jan 27 2010 | 11:09am ET

By Lawrence Cohen  -- The SEC recently published the final amendments to rules that seek to strengthen controls over the custody of client assets by registered investment advisers, encourage the use of independent custodians, and improve the ability of regulators to oversee the custody practices of RIAs.

In Depth

Q&A: Symphony Financial's Baran Talks Investing In Japan

Feb 9 2012 | 6:46am ET

David Baran is co-founder of Tokyo and Singapore-based Symphony Financial Partners...

Lifestyle

Claren Road's Fahey Faces Celebrity Uproar Over Planned Malibu Home

Feb 2 2012 | 2:37am ET

Claren Road Asset Management co-founder Sean Fahey isn't doing much to endear...

Guest Contributor

Wealth Advisors Broaden Offerings To Include Hedge Funds

Feb 13 2012 | 5:57am ET

By Douglas Nelson and Michael DeJarnette, ConvergEx Prime Services -- The world...

 

Service Providers


Publisher's Note

    Occupy GAIM Fizzles

    Jan 23 2012 | 11:26am ET

    South Florida’s version of Occupy Wall Street—Occupy Palm Beach Country—is staging what I’ve been told is a less-than-impressive protest outside the GAIM conference site. Read more…