Coronavirus

These FAQs are directed at BDCs and mutual funds

Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...

No need to report home offices as "long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances ...

This statement updates the Division’s position of January 5, 2021, by extending the expiration date of the staff position from March 31, 2021 to March 31, ...

Warf recalls nurses waking him to say, “‘we’re taking you to the ICU,’ which, of course, scared me to death”

Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...

Focus areas are detection. monitoring, suspicious activity report filing and fraud reporting

Independent compliance expert and consultant Toni Caiazzo Neff passes along this COVID-19 due diligence questionnaire. 

Investment knowledge was found to be particularly low for new investors

An adviser, who asked for anonymity, shares the firm's newly revised COVID P&Ps that take into account returning to work and the new vaccines