Here are some more of your peers’ favorite compliance tips to consider
Numbers of SEC-registered IAs, assets under management, individuals employed, and clients served all on the rise
"The Commission seeks to promote efficiency, transparency, and operational resiliency by modernizing the manner in which information is submitted to us"
One clear takeaway for compliance officers is if your firm claims to invest in accordance with ESG standards, have P&Ps “associated with compliance oversight of ...
A peer shares an SEC exam letter dedicated to ESG
We are proposing to require ESG-related disclosures from registered investment advisers that consider ESG factors as part of their advisory businesses
Firm settles charges that it unlawfully purchased stock in seven public offerings after selling those same stocks short
Thousands of instant messages sent and received through reps' cell phones not captured, reviewed, retained
The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...
It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...