SEC Commissioner sees opportunities for improvement in compliance efforts spawned by AI for both financial institutions and regulators alike
Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again
Issues with the advertisement of hypothetical performance yielded penatlies ranging from $50,000 t0 $175,000
A common mistake advisers make is 'they don’t think about the short-term succession plan.' Plans should be prepared to handle short-, medium- and long-term succession
“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023
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One comment stated that FSOC should leave the job to the SEC, which 'has demonstrated that it is more than up to the task of ...
RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing
Here's a rundown of key SEC rules in the works
Here are the new rules and changes from the SEC's approval of a final rule in August 2023