See how the major IA trade association made out last year
Morgan Stanley failed to adopt and implement P&Ps reasonably designed to prevent and detect unauthorized externally-initiated ACH payments
While federal regulators and legislators may be perplexed about how to handle AI, many states aren’t standing still on the question
For example, a CPO that used generative AI to update a disclosure document or prepare periodic account statements for a commodity pool would still be ...
Former SEC commissioner Paul Atkins has been tapped to lead the Commission, Gensler and Lizarraga to depart in January
Your chance to check out our hottest stories from November
After one actor auditioned, Beam informed the man he got the job, but that Beam 'needed his passport to make the travel arrangements.' Armed with ...
Remember that you have a compliance obligation to obtain an initial and an annual notice from these clients confirming that their SLOA instruction remains valid
The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen
It remains a best practice for advisers to produce a written annual review