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The ad rule defines an endorsement, in part, as anyone who directly or indirectly solicits any current or prospective client to an adviser
The regulators justify the proposed changes by noting Form PF data came up short in the early days of the pandemic
In a Q&A format, the bulletin addresses identifying, eliminating, mitigating and disclosing conflicts, as well as product menus
It’s been a long time coming but this month brings the compliance date for the SEC’s derivatives rule. Mark Aug. 19th on your calendar
"The following is a staff bulletin styled as questions and answers reiterating the standards of conduct for broker-dealers and investment advisers in identifying and addressing ...
In a split 3-2 vote, the SEC proposed amendments to Form PF to enhance the reporting requirements for all private fund filers and large hedge ...
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
One of the proposed changes would have advisers notify the DOL that they’re using the exemption, and perhaps mandating the reporting of their CRD number
The key avenue that a cyber bad guy could use to infiltrate your system via an MSP comes through its remote monitoring and management (RMM) ...
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