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It’s possible the SEC could alert the DOL to violations of its exemption rules. When the DOL shows up, though, it’s usually too late, he ...
Would client entertainment—tickets to a sporting event or treating a client to dinner—be considered compensation? Advisers will have to tackle this question
Confusion grips the industry over whether cryptocurrencies are securities under the regulatory jurisdiction of the SEC or whether they more rightly fit within the CFTC’s ...
This guidance proves especially helpful because RCW has confirmed from multiple sources that the SEC won’t be issuing any more FAQs to help the industry ...
Two individuals have been barred from the securities industry for cheating during their online qualification exams
Whether guidance or a proposed rule emerges, a key question likely to be answered is who can hold crypto assets?
Compliance officer Craig Watanabe agreed to share with RCW his program for getting ready for the ad rule, plus two great tools that can help ...
Most advisers maintain policies that prohibit communications with clients outside of company channels. Enforce them
Given the many similarities, they could indicate that the ESG questions make up the agency’s current template for ESG exams
The main explanation for eliminating the 2020 guidance was because commenters asked the SEC to do so
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