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Four new or modified FAQs restate the Commission's regulatory relief for advisers due to the coronavirus
Why now? The proposal states that “the regulatory landscape has changed as other regulators, including the SEC, have adopted enhanced conduct standards for financial services ...
“The biggest impact is the loss of personal contact. I know employees can be hesitant to raise issues via e-mail"
SEC releases new Form CRS FAQs days before June 30th deadline
Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...
In an 8-1 decision, the Supreme Court on June 22 held that, in an SEC enforcement action, a disgorgement that does not exceed a wrongdoer’s ...
Sideletter
SEC Chairman Jay Clayton has found himself engulfed in the ongoing controversy over the top prosecutor’s job in the critical Southern District of New York. The saga began ...
Her focus at the SEC has included investment management and she represented investment advisers as a private practice attorney
Lucia refused “to bow to an agency with unlimited resources unwilling to admit that its prosecution efforts had become wholly disproportionate to the alleged infraction”
The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
The Commission commenced this proceeding on September 5, 2012
"Broker-dealers and investment advisers should review their operations to be sure they are making recommendations or providing investment advice to retail investors that is in ...
The COVID-19 crisis forced financial professionals to flee their offices in a hurry. Even if your cabin fever has you reaching The Shining-levels of madness, ...
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
The U.S. Department of Labor has given the green-light for pension fund advisers to invest their clients’ money in private funds, but compliance officers will ...
The court found that the defendants knew there were misleading statements in their marketing materials and that there had been inadequate due diligence, yet they ...
Goldstein fired back with a letter to the SEC laced with humor
The statement levels “the playing field for funds in states with control share statutes, but it doesn’t put an end to activism”
FINRA’s overarching take is that broker-dealers must supervise reps’ live meetings with customers via video “in a manner reasonably designed to achieve compliance with applicable ...
“We need to understand better what the heck happened here”
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