"It has been an honor of a lifetime to serve with them on behalf of everyday Americans and ensure that our capital markets remain the ...
Understanding the custody rule and its future, marketing mistakes to avoid, the road ahead for private funds and much more
"After all, compliance has costs. There are the actual resources needed to implement effective compliance functions"
This technical amendment reverses some Advisers Act changes due to a federal court disallowing the Commission's private fund rule. This means the annual review is ...
Take these steps and produce 'the most effective annual review that you could do'
Sometimes jumping on the bandwagon too quickly risks falling off
One strategy to defeat similar fraudsters is to send this correspondence to all clients
This final rule from Treasury requires U.S. persons to provide notification to Treasury regarding certain transactions involving persons of a country of concern that are ...
"I’ve been proud to serve with my colleagues at the SEC who, day in and day out, work to protect American families on the highways ...
Know the 4 pillars upon which the SEC exam division stands, don't rush into new business and leave compliance behind, tips for your annual review ...