There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a ...
One takeaway: Even if you’re at a private equity fund adviser, be sure your custodian sends quarterly statements to investors—even if the investors have no ...
Proposed Form ADV reporting could cause harm because 'a common tactic of threat actors is to determine which companies have cybersecurity insurance and then target ...
'We’re probably in the seventh inning' of the prep-stage 'and it’s taken six months to get there,' said the CCO. That’s about how much time ...
'Had [the CCO] looked at that paperwork' the fraud would have been discovered years earlier
SEC examiners will want to see evidence that you’ve compared client trades with staff personal transactions, so be sure to have 'a complete trade blotter'
RCW has taken the nearly 3,000 word staff release and converted the guidance into a list of do’s and don’ts
“We’re showing it again to them every quarter,” the CCO continues. The math allows the client to duplicate the calculation, if desired
The Biden nominees speak to the president’s diversity agenda as Lizárraga is Hispanic and Uyeda is Asian
The DOE states that one topic that could come up on RIA exams is whether “sufficient resources exist to perform compliance duties”