Two individuals have been barred from the securities industry for cheating during their online qualification exams
Whether guidance or a proposed rule emerges, a key question likely to be answered is who can hold crypto assets?
Compliance officer Craig Watanabe agreed to share with RCW his program for getting ready for the ad rule, plus two great tools that can help ...
Most advisers maintain policies that prohibit communications with clients outside of company channels. Enforce them
Given the many similarities, they could indicate that the ESG questions make up the agency’s current template for ESG exams
The main explanation for eliminating the 2020 guidance was because commenters asked the SEC to do so
The enforcement action led to SEC Commissioner Hester Peirce once again addressing the issue of CCO liability
'The worry is the SEC will fill in the grey areas by rulemaking through Enforcement, and that certainly doesn’t benefit anyone,' says a CCO
"I have underscored that the compliance obligation belongs to the firm, not to the CCO. Reminding firms that compliance is their responsibility helps to ensure ...
Gensler has faced criticism in the past for his ambitious SEC regulatory agenda from Peirce and former Commissioner and fellow Republican Elad Roisman