It doesn't always pay to listen to the boss
Reactions to the SEC's new slant on marketing
Lessons learned and best practices to bolster your cybersecurity
An example of a compliance policy and procedures
Get the jump on your next exam
Rulemaking recommendation on new disclosure framework for variable products coming
Failures tied to share class selection calculator trip up dual registrant
"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"
MS sold customers more expensive share classes when less expensive share classes were available
"You should take it upon yourselves to improve communications with your investors"
Proposal would rename old rule, keep some elements and change others
New proposed SEC rules on advertising, solicitation, books and records and more
A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...
One of the audiences the Commission targets is investors
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
OCIE releases results of IC exams
Investment advisers continue to lead the league in spending time in the SEC’s penalty box, the Commission has concluded its in annual enforcement report. Thirty-six ...
SEC claims adviser failed at its fiduciary duty; advisers fires back
This is the SEC new proposed advertising rule
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