RCW’s complete coverage of Covid-19 or the coronavirus
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Four compliance officers share their views on coping with the crisis
Making sure everyone’s on the same page is literally another challenge
This list comes courtesy of Joseph Lazzarotti, a principal with Jackson Lewis in Berkeley Heights, N.J.
“New York is the only state in the Union that does not register these important investment professionals”
The change is being made to mitigate potential filing delays due to the ongoing impacts of COVID-19
An adviser should consider whether investments are recommended only to those clients who can and are willing to tolerate the risks
This relief will provide Introducing Industry Members with additional time to prepare effectively for certain CAT reporting phases
Order Granting Conditional Exemptive Relief Governing the Consolidated Audit Trail
"We’re built for connections and the only way we can do that now is virtually, and we must”
Consider getting a noise-cancelling headset
