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Tasks such as setting up bank accounts, creating legal entities, obtaining tax ID numbers, finding a transfer agent, scoring D&O insurance for officers, lining up ...
Charging CCOs can actually increase future securities violations, the report argues, because it could discourage compliance professionals from “deep involvement” in their firms
Look out for additional expenses, perhaps labelled a 'surplus line' tax, a 'stamping tax,' a 'stamping fee' or a 'broker filing fee'
DOE just missed its goal of examining 16% of RIAs in FY 2020, scrutinizing 15% of the RIA population. The plan estimates that DOE will ...
SEC needs lots more hands and a 'cultural change,' author says
“You don’t want to get into a world where the unvaccinated are treated as the Lepers of the workplace”
Life could be so less complicated if things aligned. Take the SEC’s new IA ad rule, which began this month, and GIPS 2020. They both ...
'The SEC must grow and evolve with the industry,' chairman says.
There have been signs “to be concerned that some firms are not taking [the LIBOR transition] seriously, are not taking the steps that they need ...
Some advisers may legitimately have cybersecurity concerns about listing the address of their cloud provider, fearful it could give hackers a designation where they can ...
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