Peirce and Uyeda question whether firms "have an achievable path to compliance" when it comes to off-channel communications
The full-day program for investment advisers and investment companies is aimed at assisting firms in enhancing their compliance programs
The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications
Consider your 'vulnerabilities' to being used for money laundering when crafting your P&Ps, including the investment products you offer, investment recommendations, distribution channels, intermediaries used ...
Be careful giving a CCO too many hats to wear. FinCEN warns 'multiple additional job duties' 'generally would not fulfill" the requirement to have an ...
The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations
RCW and industry regulators have a plethora of AML guidance for you
A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed
If you hire an auditor to examine your private funds, make sure the person does the job. If not, the SEC likely won’t come down ...
Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers