This is the sweep document request letter sent to advisers in the summer of 2024
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With all the new regulations emerging from Washington in recent years, you can’t blame some advisers for saying enough already
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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 ...
Examiners launch a T+1 settlement sweep, why the Jarkesy case is likely over, the Senate HELP Committee enters the private equity-in-healthcare fray, nearly one-quarter of ...
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