It’s the first time in the 12 years that the exam division has released its annual exam priorities that they’ve appeared the year before they ...
While the exam did ask about due diligence of third-party vendors, Patel contends the exam team went too far in inquiring whether the adviser tracks ...
The provision governing stock loans may give compliance officers the biggest challenge
'There are still a few levers to pull' aside from a hedge clause
The SEC approved rule amendments that shorten the filing deadlines for Schedules 13D and 13G
It took Mortgage Industry Advisory Corp. 16 years, and a second SEC exam, to adequately address cited deficiencies first identified in 2006
Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth
Check out the 10 top RCW stories for the month
The SEC has finally admitted that it won’t restart a 7-year-long enforcement action that went all the way to the U.S. Supreme Court
The IAA suggests the SEC use the number of employees as the appropriate standard for determining the impact of its regulations on small advisers