The COVID-19 crisis forced financial professionals to flee their offices in a hurry. Even if your cabin fever has you reaching The Shining-levels of madness, ...
The U.S. Department of Labor has given the green-light for pension fund advisers to invest their clients’ money in private funds, but compliance officers will ...
The court found that the defendants knew there were misleading statements in their marketing materials and that there had been inadequate due diligence, yet they ...
Goldstein fired back with a letter to the SEC laced with humor
The statement levels “the playing field for funds in states with control share statutes, but it doesn’t put an end to activism”
FINRA’s overarching take is that broker-dealers must supervise reps’ live meetings with customers via video “in a manner reasonably designed to achieve compliance with applicable ...
“We need to understand better what the heck happened here”
“We’re encouraging our compliance officers to have standing office hours on Zoom"
Where do you fall in the work-from-home or return-to-the-office debate?
TSP Capital will pay a $60K penalty under settlement agreement