We hope that firms' leadership, including those in compliance, legal, risk, and information security, across the financial services industry will review the priorities and consider ...
SEC announces new DOE leadership
Sixteen steps to take to get ready for the SEC's new IA ad rule
It seems odd that the SEC would require disciplinary histories to be disclosed via Form ADV, Part 1 and Form CRS and yet not in ...
More standardized requirements for performance metrics would allow private fund investors to make apples to apples comparisons when assessing the returns of similar fund strategies ...
The SEC made no bones about what it would do with the answers to the new questions: “Our staff will use this information to help ...
The SEC claims the more “robust data” that PE advisers would have to file “could lead to more resilient financial markets and instill stronger investor ...
Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”
RCW asks Michelle Jacko, managing partner of Jacko Law Group and CEO of Core Compliance & Legal Services in San Diego, to answer your questions ...
FINRA's Cook "failed to answer key questions" about how arbitrators were chosen in a Wells Fargo case, say Warren and Porter