Disclosure anchors the advisory regulatory regime but a key phrase clings to it that some consider vague and potentially troublesome: “informed consent”
RCW has obtained a copy of the SEC Division of Examinations' sweep exam letter tied to AI or artificial intelligence
While consumer groups applauds the SEC's plan AI rule, the industry overwhelmingly pans it
The firm contemplated a plan to respond to a criminal escaping from a nearby hospital who then threatened the public. Six months later, “that actual ...
It’s the first time in the 12 years that the exam division has released its annual exam priorities that they’ve appeared the year before they ...
This is the SEC's Division of Examinations' 2024 exam priorities, released in October 2023
While the exam did ask about due diligence of third-party vendors, Patel contends the exam team went too far in inquiring whether the adviser tracks ...
The provision governing stock loans may give compliance officers the biggest challenge
The SEC approved rule amendments that shorten the filing deadlines for Schedules 13D and 13G
Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth