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SEC enforcement chief Gurbir Grewal wants industry to see 'the real benefits of proactive cooperation'
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RCW shares a new SEC exam sweep document request letter going to advisers
Commission staff found Ameriprise Financial Services’ misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at investment advisers
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This is the sweep document request letter sent to advisers in the summer of 2024
Less than 2% of survey respondents permit the use of personal e-mail for business communications
Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern
Omni channel technology of online retail business. Multichannel marketing on social media network platform offer service of internet payment channel, online retail shopping and omni digital app.
The enforcement settlements have been so eye-popping, making it impossible for firms to ignore that staff may be using non-approved communications devices for work. So ...
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A CCO tells of recently discovering that an online tool also can produce automatic transcriptions of meetings, and send the paperwork directly to your e-mail
Employee Retirement Income Security Act ERISA is shown on a photo using the text
Firms must e-mail the DOL by Sept. 15th at QPAM@dol.gov, including “the legal name of the entity and any name the QPAM may be operating ...
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