Your firm may still be grappling with its approach to AI, but you should recognize that some staff may have already wholeheartedly embraced the new ...
While many advisers would rather not see an SEC final rule on artificial intelligence, other governments are grappling with what regulations to put in place ...
SEC Division of Examinations sweep exam assessing how the T+1 settlement change is going
The agency admitted Enforcement staff were getting improper access to ALJ records
Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is ...
Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...
You don’t need to be a psychic to predict enforcement troubles would follow
This means that annual reviews must be in writing
Less than 2% of survey respondents permit the use of personal e-mail for business communications
Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern