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Books and Records
SEC enforcement chief Gurbir Grewal wants industry to see 'the real benefits of proactive cooperation'
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
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
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 ...
This is the Advisers Act's books and records rule
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
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 ...