Retire Rich

By Lee Barney

Add Forensic Testing to the SEC Exam Checklist

At the Securities and Exchange Commission's meeting on April 17 and 18 in Washington, D.C., open only to chief compliance officers, SEC chief examiner Gene Gohlke announced that mutual funds can now add forensic testing to their SEC exam checklist of funds' own annual internal compliance reviews. If an asset management firm has not conducted forensic testing, it runs the risk of being found deficient.

CEOs Should Remember Leadership Role

By John Morgan

As the U.S. economy continues to sink, people have been quick to label corporate executives as Public Enemy No. 1. It's always easier to blame someone else when your own luck runs out, but should executives be punished for poor market performance?