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Engage in forensic testing to spot if some trade errors aren’t being reported. Be clear how you calculate a trade error and keep that documentation
The risk alert provides examples of notable deficiencies or weaknesses identified by OCIE staff in connection with the compliance rule
We’ve been asked to query CCOs about the type of compliance training software they use. In an online RCW survey launched this month, 52% of ...
SEC commissioners approve final rule creating a "consistent and efficient rules-based regime for the formation, operation, and oversight of fund of funds arrangements"
The SEC’s website has been updated to include a new web intake form for no-action and interpretive letter requests
OCIE vows to "review for the inappropriate use of complex investment products and evaluate the robustness and effectiveness of related supervisory policies and procedures.  OCIE ...
SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...
President-elect Joe Biden has named former CFTC chairman Gary Gensler to lead the financial services wing of his new transition team—a team stocked with veteran ...
“Everything’s negotiable in COVID-19” because so many firms are now working from home. “This is the time to negotiate and to negotiate hard. They can ...
"As ESG investing has increased, it has engendered important and substantial questions with numerous observers identifying a lack of precision and consistency in the marketplace ...
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