Carl Ayers
The withdrawals of, and modifications to, the statements identified in Appendix A will be effective as of November 4, 2022 (the Marketing Rule compliance date)
"There should be some framework for reporting cyber-incidents to clients and to the Commission, to the extent the adviser has identified them to be material"
None of the ACH transfers from Welsh’s clients’ and customers’ accounts to the Welsh Family Accounts were authorized by the relevant account owners
A peer shares a copy of a policy for using ESG rating companies
EXAMS contacted LCM’s Chief Compliance Officer by email on October 14, 2020 to alert her that the firm had failed to file Form CRS. LCM, ...
Lessons for fund advisers in latest DOE risk alert, how a CCO combatted a hack, a key DOL delay and much more
Another lesson provided by the hack is to have employees delete old e-mails, or at least route them to be auto-archived, says the CCO
Ironically, the government will get a big chunk of the cash back because whistleblower awards are taxable
The Institutional Limited Partners Association permits RCW to include a link to the group's latest template to help private equity fund advisers report their fees and ...
“While some believe they will be ready by the [Dec. 21st] deadline with fully operational systems, others believe more time is necessary,” reads the DOL’s ...