"The Commission needs to start treating companies subject to cyberattacks as victims of a crime, rather than perpetrators of one"
"We’ve also seen brokerages and investment advisers use sophisticated analytic tools to interact with investors .... Broker-dealers and investment advisers, regardless of whether they are ...
"One approach is using a sliding scale that would allow any individual to invest at least a modest amount in private investments over the course ...
Here are FAQs related to the CTA's beneficial ownership reporting requirements
In its representations to the Board and in the ESG Funds’ Prospectuses, WisdomTree did not describe the limitations of the data sets it used from ...
The bulk of the release aims at RIAs, showcasing a slew of hot exam topics
Here are directions to help you obtain your FinCEN ID to make it easier to comply with the Corporate Transparency Act
This is the DOE's priorities for FY 2025
Check out an extensive new exam letter that digs into the operations of a private equity fund adviser
Here's an extensive DOE exam letter shared with RCW by a source. This was directed at a private equity fund adviser in 2024