FinCEN finalizes AML rules for registered and exempt fund advisers, the SEC adopts changes to N-PORT and N-CEN, Treasury gets an earful on AI ...
Peirce and Uyeda dissent, criticize fellow commissioners for not going back to public comment drawing board
The protection of MNPI remains a top focus of the SEC's Division of Examinations
SEC enforcement chief Gurbir Grewal wants industry to see 'the real benefits of proactive cooperation'
Although the firm’s compliance manual contained generic language regarding the need to promptly update its Form ADV if there is additional information required for the ...
It’s possible that the Missouri secretary of state’s office will appeal. In a statement, the office criticized the judge’s decision, calling it morally wrong
The industry shares its thoughts about AI with Treasury
An SEC commissioner objects to PTP enforcement case, OCC action reveals benefits of self-reporting, ESG lawsuit affecting IAs/B-Ds, and much more
The SEC, CFTC, Treasury and other federal agencies are proposing to establish data standards to promote interoperability of financial regulatory data. Comments must be received ...
An individual made a campaign contribution to an incumbent for elected office in the State of Michigan, which office had influence over hiring investment advisers ...