Several states have or hope to pass rules that target ESG investing, including one that proposes to make it a criminal offense to invest funds ...
Covered advice would include recommendations on investment strategies and advice on how rollover proceeds should be invested
A final DOL fiduciary duty rule appears to be getting closer
A common deficiency seen in SEC exams stems from a private fund adviser not updating its Form ADV, Part 1 answer after the distribution of ...
The SEC’s new annual report to Congress about Form PF provides some insights into how the Commission uses private fund data, and how it attempts ...
In the last five years, 'the population of advisers has grown by over 2,300 and the assets managed by these entities has increased by approximately ...
‘Tis the season for Form ADV updates for most advisers, so it’s worth heeding a compliance lesson tied to faulty disclosures
The Q&A left Gensler with no doubt where the advisers stand on all those new SEC rules
Among the industries likely to be most affected by AI are financial services, and even compliance
It’s very likely that your firm already uses AI and may not even know it