Even advisory giants can be felled by poor compliance oversight
The survey shockingly revealed that nearly 9% of respondents "are still in the process of updating" their advertising/marketing P&Ps
Examiners may want to see additional procedures to be comfortable that the firm could adequately conduct its reviews given this situation
It’s a challenge that gnaws at compliance officers like a pesky summer insect buzzing around your head: ensuring that staff aren’t using so-called off-channel communications ...
Here’s a list of various apps and products your firm’s staff could potentially use to communicate work-related messages
If the Federal Trade Commission has its way, private equity fund advisers engaged in large acquisitions would have to report their significant limited partners as ...
The judge even alluded to the DOL’s past legal losses, writing that 'the Court must also recognize that other similar agency efforts have not held ...
Gensler: 'I’m voting for fewer federal bailouts...'
While larger firms tend to give best ex reviews to committees, too many smaller firms make the mistake of lacking any best ex reviews
We carefully share with you lessons learned from a legal action that befell an East Coast advisory firm