The Commission approved new rules under the Advisers and Investment Company acts and would create new Form ADV-C for firms to electronically report within 48 ...
The proposed modernization of the clearance and settlement process comes with a March 31, 2024 compliance date should final rules be adopted
There may be only four SEC commissioners instead of the usual five but they’re moving toward adopting the most significant new rules aimed at investment ...
If the SEC Office of Inspector General’s latest investigation of the Division of Examinations were a report card, DOE would have earned a passing grade ...
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EXAMS staff observed potential failures to conduct a reasonable investigation into an investment
Factors that go into the initial risk rating include the size of the firm, whether it maintains custody, if it employs many reps across numerous ...
The report excoriates SEC IG Carl Hoecker for not being honest
Initiative is aimed at attempting to alleviate the uncertainty faced by compliance officers when it comes to personal liability
Fully 7-in-10 compliance professionals consider the overall compliance function at their firms to be "under-resourced"