"We consider a firm’s efforts to comply with its recordkeeping obligations and to prevent off-channel communications, focusing, for example, on timely adoption of meaningful technological ...
"Private fund sponsors also are trying tokenization. Again, much of this activity is happening outside of the United States because the regulatory environment here is ...
"We cannot be everywhere all at once. Strong investor protection requires empowered compliance professionals and strong cultures of compliance within firms"
Exam prep guidance in DOE's latest risk alert, mistakes to avoid with the IA marketing rule, the challenge of using MNPI and much more
Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided ...
One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'
This Risk Alert provides some insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are ...
Here's what the FinCEN ID application looks like
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Here's an example of FinCEN's beneficial ownership reporting form