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Taking Some Risk Out of Expert Networks

Published on April 14, 2011 By Wall Street Journal

Gathering information through expert networks can expose a firm to scrutiny by regulators. Dow Jones columnist Suzanne Barlyn talks with Jim Heinzman, managing director of securities solutions for NICE Actimize, about how firms can monitor their expert…

Tools for Hedge Fund Advisers

Published on March 24, 2011 By Wall Street Journal

Keeping up with compliance willl be a big task for hedge fund advisers who are registering with the SEC for the first time. Dow Jones columnist Suzanne Barlyn speaks with Larry Goldfarb, senior sales director of Subserveo about helpful software tools.

Time’s Running Out For New Disclosure

Published on March 18, 2011 By Wall Street Journal

A new type of disclosure brochure is due at the SEC by March 31 for most registered investment advisers. Dow Jones columnist Suzanne Barlyn speaks with Guy Talarico, chief executive of Alaric Compliance Services about finishing the task during the fin…

Will Higher Oil Boost Electric Cars?

Published on February 24, 2011 By Wall Street Journal

Thanks to electric cars, auto companies may be in a better position to weather the storm of higher gas prices due to unrest in the Middle East, even as they continue to recover from the recession. Kelsey Hubbard talks with Smartmoney columnist Jack Ho…

Year-End Checlist: SEC Registration

Published on December 20, 2010 By Wall Street Journal

Hedge fund and private equity fund advisers are facing a long to-do list
as 2010 winds down. The new year will ring in new SEC registration
requirements. Dow Jones Compliance Watch columnist, Suzanne Barlyn,
explains how to prepare before time runs ou…

Inside Broker’s World

Published on November 23, 2010 By Wall Street Journal

This week’s look inside the big brokerages, including a Merrill Lynch
webcast, new study and adviser production, with Annie Gasparro, Broker’s
World columnist for Dow Jones.

Inside Broker’s World

Published on November 15, 2010 By Wall Street Journal

Annie Gasparro, Broker’s World columnist for Dow Jones, gives this
week’s look inside the big brokerages, with UBS Investor Day, LPL
Financial’s initial public offering and more.

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