It’s possible that the Missouri secretary of state’s office will appeal. In a statement, the office criticized the judge’s decision, calling it morally wrong
The industry shares its thoughts about AI with Treasury
Chief compliance officer pay at private companies slumped slightly last year, and a gender gap persists, a new study by an executive search firm finds. ...
RCW shares a new SEC exam sweep document request letter going to advisers
These changes are retroactive to last June
Commission staff found Ameriprise Financial Services’ misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at investment advisers
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With all the new regulations emerging from Washington in recent years, you can’t blame some advisers for saying enough already
Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...
Your firm may still be grappling with its approach to AI, but you should recognize that some staff may have already wholeheartedly embraced the new ...