The SEC warned that investors "must be free to report complaints to the SEC without any interference"
An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations
Predictions already note that as more of the financial services industry adopts artificial intelligence technologies, the bad guys will as well. Envision dueling AI
Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...
Time will reveal if the Labor Department proves successful in finalizing its latest fiduciary duty proposal, but if some industry comments hold the day, the ...
The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...
The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short
The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
RCW has obtained a copy of what’s described as a new SEC exam sweep checking on compliance with Form 13F filings
Given that 2024 is a presidential election year, the smart money sides with the SEC backing off a bit from its aggressive rulemaking, exam and ...