SEC examiners are looking at compliance with newly effective rules, use of technology, cybersecurity, crypto assets and artificial intelligence
“One of the ways that we’re prepping is anyone we think who is an individual that we think might have to report” as a beneficial ...
It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...
A substantial portion of the investment strategies that Invesco counted as ESG integrated could not consider ESG factors in making investment decisions because they were ...
The SEC adopts amendments to correct certain errors in various rules and forms, including those under the Advisers Act.
"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 ...