SEC states investors must be able to know the advice they receive is free of undisclosed conflicts, regardless of whether the conflict is financial in ...
Comb through the SEC’s investor advocate’s recent report to Congress and you’d discover that the office met with investors to help shape the Division of ...
Here’s the scenario: A SEC exam heads toward enforcement. Would a CCO raise her liability risks by signing the firm’s response to a deficiency letter?
“2023 is going to be another crazy year"
One CCO’s hoping for a “boring” 2023 that lacks any new SEC rules. “One of the goals is to have a quiet year,” says the ...
Here’s a snapshot of some of the regulatory developments slated to occur this year
Feedback included calling the proposal “unnecessary and unwarranted,” “overbroad and vague,” and “impracticable”—and that’s just from the comments of the Investment Adviser Association
Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...
It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...
This second in a new series on exams conducted by the SEC’s Division of Examinations shares strategies for acing your next one