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How firms manage their obligations related to information collected from acquired customers is also being sought
Compliance could benefit from checking the chairman's social media posts
A peer shares the RIA's compliance manual, complete with numerous P&Ps
olicy issues are "part of a larger story about the intersection of finance and technology"
Use this form to survey staff on their use of social media
A subscriber-request story
The curious case of an airline baggage handler
Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for...
RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a ...
Today’s advisers play in a whole different media landscape than their predecessors. Take Blackrock Financial Management ($833B in AUM) in New York. Its latest ...
This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgeable operates a “robo-adviser”: an automated digital investment advisory ...