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The Commission’s action would create two new rules—one for B-Ds and a second for advisers—plus revise each regime’s respective books and records rules to mandate ...
Noted deficiencies related to inadequate disclosures and compliance programs that failed to measure up
The SEC’s stance on crypto sales and securities laws took a hit recently with a federal judge’s mixed ruling that gave the Commission both a ...
Increase in exam staff would enhance ability to address risks in the crypto markets, and cyber and information security, among other things
'Current regime isn't working,' Peirce says
“Everything’s negotiable in COVID-19” because so many firms are now working from home. “This is the time to negotiate and to negotiate hard. They can ...
MMF boards will be able to delegate the administration of the new fee framework to their investment advisers
The adviser has established a committee to survey how AI may be being used throughout the organization and to potentially develop guidelines. 'We’re working across ...
'The SEC also could benefit from staff making greater use of AI in their market surveillance, and disclosure reviews, exams, enforcement, and the like'