One strategy to defeat similar fraudsters is to send this correspondence to all clients
SEC examiners are looking at compliance with newly effective rules, use of technology, cybersecurity, crypto assets and artificial intelligence
“One of the ways that we’re prepping is anyone we think who is an individual that we think might have to report” as a beneficial ...
It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...
One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'
You wouldn’t be faulted for being among many of us who will celebrate when this election season passes onto the pages of history. But don’t ...
Among the many things that will be impacted by the results of the upcoming presidential election will be the agenda of the SEC and other ...
A client asked his adviser to transfer $500,000 to an escrow account for a real estate transaction. If it weren’t for a staffer’s keen eye, ...
If your ESG fund vows to exclude 'fossil fuel' securities, be sure to define what you mean by this phrase
One of the major lessons of this case is listen to your CCO