“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023
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The SEC's exam division releases this risk alert "so that advisers may prepare themselves for an examination"
Suit asks Fifth Circuit to vacate sweeping new rules
SEC can't mandate stand-alone compliance departments, but burdens of new rules may make it inevitable
The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...
RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing
New rules softer than proposal, still impose rigid disclosures on exempt advisers
Here are the new rules and changes from the SEC's approval of a final rule in August 2023
A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...