The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...
“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”
There are reports some SEC examiners recently have issued exam deficiencies as they interpreted arbitration clauses as preventing clients to take disputes to court
SEC Enforcement Director calls out the true, tangible benefits for parties that cooperate with Commission investigations
Spy what your peers clicked on most in the month of May
The enforcement settlements have been so eye-popping, making it impossible for firms to ignore that staff may be using non-approved communications devices for work. So ...
Should you discover a client’s death by reading the local newspaper's obituaries, be sure to confirm that a client has actually died
The Dow may have jumped more than 10% in 2023, but aggregate private equity and hedge fund AUM failed to keep pace
The numbers of private fund advisers grew 39% between 2012 and 2023, spurred by the tremendous increase (103%) in private equity funds
Given the alarm sounded by a new report from the Treasury Department about the risks that IAs pose to money laundering, you could be left ...