In this first of a three-part series on recent exams, we pass along a list of other tips provided by sources talking with RCW about ...
Sources have shared with RCW questions from what’s described as a new Division of Examinations sweep exam looking at how firms handle use of e-devices ...
Slick fraudsters can go to great and cunning lengths to disguise their thievery, but you’ve a tool in your compliance arsenal that can aid in ...
The new risk alert reiterates the main duties incumbent upon firms that are subject to the identity theft red flags rule and lists 'common deficiencies' ...
"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...
Investment managers can consider “the economic effects of climate change and other environmental, social, or governance factors” when making investment decisions under ERISA without risking ...
Fraud in the office occurs much more frequently than you may believe. Some crimes can actually take down a firm. A few simple measures can ...
The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...
A relationship with a compliance consultant paves a two-way street. Be sure to give any consultant you hire full information
In justifying the proposal, the SEC noted the COVID effect. "Overall, the market events in March 2020 show how liquidity can deteriorate rapidly and significantly”