OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
A 'hire me' conversation "on the golf course, at social gatherings or while running errands" could force delivery of your Form CRS
The financial services industry and a watchful market determining how best to react
OCIE hopes "these observations" will spur you "to reflect on their own cybersecurity practices”
If “done incorrectly,” a compliance consultant’s work “can inadvertently chart a detailed course for SEC enforcement staff to air” a firm’s “‘dirty laundry’"
“If you’re subject to the law, it doesn’t really matter if you’re in or outside of California”
Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility
Driscoll: The risk alert will be designed to “help firms prepare for potential exams”
"Without doubt, we face another interesting year ahead"
Some of his widowed victims came to him through an elder care placement center owned by his wife