Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it
Be aware of a type of affinity scam called “pig butchering,” which is “derived from the process of fattening hogs for slaughter.” It's being increasingly ...
The SEC adopts two new rules to further define the phrase “as a part of a regular business” as used in the statutory definitions of ...
These new SEC final rules would require a minimum dissemination period for the distribution of security holder communication materials in connection with de-SPAC transactions, along ...
This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...
All advisers, even exempt reporting advisers, will be subject to the preferential treatment rule
You may be tempted to note February as the month of FinCEN when it comes to new regulations potentially affecting your firm. The latest proposal ...
In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...
The Commission’s new regulatory agenda lists several upcoming new IA and B-D rules—all of which the agenda states are due to be finalized in April
FinCEN wouldn’t mandate that an RIA’s CCO oversee its AML program. However, it does point out that “the presence of a compliance officer may reduce ...