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This final rule creates six new Advisers Act rules and modifies two others and becomes effective Nov. 13, 2023
Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again
Issues with the advertisement of hypothetical performance yielded penatlies ranging from $50,000 t0 $175,000
Man is writing succession planning in the book.
A common mistake advisers make is 'they don’t think about the short-term succession plan.' Plans should be prepared to handle short-, medium- and long-term succession
“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023
Top 10 text on notebook in hand businesswoomen.
Check out our hottest stories from August
A wide-angle view of a board room meeting which is all women. They are discussing ideas and working on things together to come up with business opportunities.
The SEC's exam division releases this risk alert "so that advisers may prepare themselves for an examination"
The statue of Justice - lady justice or Iustitia / Justitia the Roman goddess of Justice in a court room. ideal for websites and magazines layouts
Suit asks Fifth Circuit to vacate sweeping new rules
SEC can't mandate stand-alone compliance departments, but burdens of new rules may make it inevitable
Human hands exchanging money - closeup shot
The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...

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