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EXAMS encourages registrants to review and strengthen the policies, procedures, and internal controls of their AML programs to further their compliance with federal AML rules ...
The Commission’s action would create two new rules—one for B-Ds and a second for advisers—plus revise each regime’s respective books and records rules to mandate ...
'Current regime isn't working,' Peirce says
This is the SEC's new proposed rule directing IAs to gauge the potential of conflicts created by use of AI-like technologies
MMF boards will be able to delegate the administration of the new fee framework to their investment advisers
The adviser has established a committee to survey how AI may be being used throughout the organization and to potentially develop guidelines. 'We’re working across ...
The survey shockingly revealed that nearly 9% of respondents "are still in the process of updating" their advertising/marketing P&Ps
The SEC proposes to amend the B-D customer protection rule to require certain broker-dealers to perform their customer and B-D reserve computations and make any ...
It’s a challenge that gnaws at compliance officers like a pesky summer insect buzzing around your head: ensuring that staff aren’t using so-called off-channel communications ...