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Two specific disclosures about the use of automated voting are encouraged in the new guidance
The SEC "will be hosting a roundtable this fall to share additional thoughts following completion of its review of the initial filings and will continue ...
The GLBA shield offers advisers that fall under the CCPA no protection regarding data breaches, though. Penalties can sting
New, accredited investor definition triggers issues Private funds should take a new look at their subscription agreements after the SEC’s decision to widen the definition ...
A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...
Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...
A relationship with a compliance consultant paves a two-way street. Be sure to give any consultant you hire full information
By the time you finish reading this story, three more of your fellow humans will have developed Alzheimer’s disease. More than 50 million people around ...
Another adviser’s return-to-work P&Ps note restrictions on unnecessary travel, virus testing when traveling staff return, frequent wiping down of “door handles, counters, kitchen tables,” staggered breaks ...
“The people doing this are people who were kicked out of the industry and are now paying people to do this for them,” believes Mohabir
“Morgan Stanley hired a vendor to remove customers’ data from the Equipment” but later learned the data had “not been fully ‘wiped’ clean” and the ...
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...
The shareholder report would start with a fund name, ticker symbol, the words “Annual Shareholder Report,” and a legend
The DOL’s proposal would mandate firms conduct an annual review. The IAA argued this requirement would be redundant given the Advisers Act’s similar mandate
The firm was asked to hand over everything from a list of retail customers to fee “grids or schedules” to information on any “bonuses or ...
The SEC employs more than 4,300 people, with 1,065 attached to OCIE. The FOIA response includes 1,012 names
Document who was involved in the process, the date of a meeting and the result. Commit these items to paper and “your exams are going ...
The proposal is designed to alleviate concerns that fund retail shareholders currently may receive disclosure materials that are not well-suited to their needs, which may ...
The fact that the recipient of the recommendation is a regulated financial services industry professional would not excuse a firm from complying with Regulation Best ...
Create a spreadsheet at the start of the year that features a gap analysis of your compliance manual
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