SEC examiners have reported problems: 'we are troubled that the Commission staff have observed some advisers unable to provide timely responses to examination and enforcement ...
The proposed rule and the preamble give examples of what would be in the rule and what services would be outside the rule
The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants
This final rule from the SEC takes effect July 1, 2024
There are many other clauses you may consider for your contracts, including these 11 key provisions
“What is a chief compliance officer to do,” asked a commissioner. “An already burdensome regulatory regime is made even more burdensome when the functions that ...
Confirmation of completing the second leg of the training comes through inserting a code that's a compliance message, e.g., 'you can use e-mail but not ...
This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers
“They hacked our Wi-Fi in 8 seconds”
Overseas moves evoke challenges. Will the custodian reject the new address?