Carl Ayers
The purpose of this Risk Alert is to raise awareness of certain compliance issues the Division observed while conducting examinations of advisers providing, or claiming ...
"Without a common set of conduct expectations, and a functional system to enforce those principles, markets tend toward corruption, marked by fraud, self-dealing, cartel-like activity, ...
By failing to adequately inform the investing public, during the period April 24 through May 21, 2020, of the specific constraints put on the fund ...
Firms should consider the source of the client’s funds and the jurisdiction in which the client is located, among other factors. If a client is ...
Be sure your Form ADV, advisory agreements and your P&Ps agree on the source of the assets to be used in the calculation Be aware ...
Tomorrow's Federal Register will contain a new OSHA rule directed at larger employers (with more than 100 staffers) that would encourage COVID vaccines or testing
"With respect to our Examinations Division, we expect registrants to produce materials and respond to requests promptly. An examination is not an enforcement action. Thus, ...
Now, for the first time, a criterion for the division granting cooperation credit is how a firm handles an SEC exam
Gaining SEC credit for cooperation, more cybersecurity tips, talking ESG metrics and more
In the event of a breach, take three actions: 1. prioritize data preservation (“it’s like a crime scene”) 2. forestall any restoration until the forensic ...