The new risk alert reiterates the main duties incumbent upon firms that are subject to the identity theft red flags rule and lists 'common deficiencies' ...
"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...
Investment managers can consider “the economic effects of climate change and other environmental, social, or governance factors” when making investment decisions under ERISA without risking ...
Fraud in the office occurs much more frequently than you may believe. Some crimes can actually take down a firm. A few simple measures can ...
The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...
A relationship with a compliance consultant paves a two-way street. Be sure to give any consultant you hire full information
In justifying the proposal, the SEC noted the COVID effect. "Overall, the market events in March 2020 show how liquidity can deteriorate rapidly and significantly”
The SEC Enforcement Division works with DOE examiners to look for 'misconduct' and using sophisticated data analysis 'to identify potential violations'
Goldman “only completed the newly developed ESG questionnaires for all positions after securities were already selected”
'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'