Compliance Best Practices

You have until Aug. 12th to reply to a request for industry comments from the Treasury Department about your use and concerns about AI in ...

Case puts a ceiling on regulators' private fund ambitions, but managers may still see the compliance floor rise

The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...

This document discloses the division's policies around requesting information, whether voluntarily or via a subpoena

Broadridge gives RCW permission to share the company's diagram with you

This is the Division of Examinations' exam brochure

There are reports some SEC examiners recently have issued exam deficiencies as they interpreted arbitration clauses as preventing clients to take disputes to court

Spy what your peers clicked on most in the month of May

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 ...

Should you discover a client’s death by reading the local newspaper's obituaries, be sure to confirm that a client has actually died