A peer shares a copy of the firm's SEC document request exam letter
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
What SEC examiners are focused on, why you shouldn't ignore examiners, off-channel communications forms top compliance concern and much more
Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern
"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...
Reps have long sought to take their clients with them to greener pastures. Now this trend is heating up thanks to an infusion of green ...
The Commission wants the party to 'feel the financial penalty of the resolution'
Another topic that remains hot for the advocate is risks related to private fund investing, especially for retail investors