Risk alert identifies shortcomings in advisers' P&Ps which "resulted in gaps for preventing violations of the marketing rule, books and records rule, or both"
Enforcement director cautions that given the continued noncompliance in the crypto space, investors have "good reason" to be concerned about crypto's reliability and safety
As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes
Firms must e-mail the DOL by Sept. 15th at QPAM@dol.gov, including “the legal name of the entity and any name the QPAM may be operating ...
IA penalized $60K for running afoul of the Commission's pay-to-play rule
The resounding message is don't advertise hypothetical performance on your public websites
A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...
You may not always agree with your regulator’s stance but you often have little choice but to heed it
Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...
Heed the lessons of the SEC’s latest off-channel communications enforcement action against an adviser and you may well sidestep a similar fate