DOE has set out to “remind firms” of the upcoming LIBOR “Cessation Date” of June 30th and to pass along what your peers have done
Here are industry benchmarks by which you can compare your firm's performance
The new data indicate advisers aren’t broadly embracing the new ad rule
HSI contacted the Division of Enforcement upon uncovering off-channel communications potentially related to the business of its broker-dealer. HSI had already initiated a review of ...
'The American public inevitably get hurt,' Gensler says
“Have you kept up with the pace of regulatory change?” asked the SEC official. Your compliance P&Ps should “reflect those regulatory changes”
This is the revised Form PF as approved by SEC commissioners in May 2023
Check out our most popular stories from April
The SEC’s Division of Examinations third risk alert of the year reminds advisers to include their branch offices in their compliance P&Ps, especially those designed ...
A greater understanding of what it takes to comply with the SEC’s best interest standard comes out of new staff guidance designed to help advisers ...