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This checklist comes courtesy of Steven Felsenthal, GC/CCO at Millburn Ridgefield Corp. in New York
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Word CONFLICT written on wood block,stock image
RTW failed to disclose conflicts of interest, made statements that omitted material facts, and failed to adopt reasonably designed written policies and procedures regarding RTW ...
A wide-angle view of a board room meeting which is all women. They are discussing ideas and working on things together to come up with business opportunities.
RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel
The marketing rule and ESG, Reg BI violations prove costly, ideas for handling charitable contributions and much more
A black ethnicity male server technician working back at the office and server room after lockdown
A peer shares a DOE request that focused on cybersecurity
Family having an Easter yard sale in their garden in the North East of England. One of the sellers has down syndrome and is being handed money by a customer.
Advisers take various positions when it comes to making charitable contributions—either as a firm or by an access person
Large group of college students doing an exam in the classroom. Mature teacher is walking among them and monitoring.
This is an example of a DOE document request letter issued to a newly registered investment advisory firm
Times Square when 6 ft social distancing was a myth. Captured this while enjoying an open air bus ride in this magnificent and lively place. It is one of the world's busiest pedestrian intersections, and a major center of the world's entertainment industry.
The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why
Businessman, accounting, calculating, analyzing, charting and graphing income with a modern laptop computer. And strategy ideas
Sciens’ Compliance Manual did not mention any valuation techniques or methodologies applicable to Level 3 Investments, and further lacked procedures designed to promote consistency in ...

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