Compliance Best Practices

Here are RCW's most popular stories for the month

Penalties top $5 billion, Grewal seeks 'three e's'

Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...

The SEC’s pace of rulemaking in the last two years will challenge firms and CCOs, even as the Commission should lay out a “framework” to ...

Disclosure anchors the advisory regulatory regime but a key phrase clings to it that some consider vague and potentially troublesome: “informed consent”

The firm contemplated a plan to respond to a criminal escaping from a nearby hospital who then threatened the public. Six months later, “that actual ...

This comes from the Cybersecurity & Infrastructure Security Agency

"It is unsurprising that many compliance professionals feel a sense of trepidation as to how the Commission will exercise its enforcement authority. Left with only ...

Nothing in this Advisory should be deemed to oblige the Division or the Commission to consider one or more factors, or to give certain factors ...

The provision governing stock loans may give compliance officers the biggest challenge