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A transition plan can run as short as 2-3 pages
As a service to the adviser industry, Schwab has granted RCW permission to share its guide with you
New Form CRS FAQs, an adviser takes on the coronavirus, comments on advertising rule and much more
Charges faced by former SEC-RIA now state-registered advisory firm
BPU Investment Management agrees to pay $927,000 to settle charges
To help in the transition away from LIBOR
A peer shared this example of a policy and procedure for anti-money laundering
The SEC gives the nod of approval for an investment adviser and its affiliated IA to create one form
Testimonials “will lead to a race to the bottom - once the market is opened to these types of endorsements, investor confusion will increase dramatically"
There is current uncertainty about how the securities laws apply to tokens
The new examiners’ focus: Cybersecurity and standards of conduct for investment advisers and broker-dealers
The World Health Organization has described the newly dubbed COVID-19 virus as a “very grave threat”
This latest batch tackles form format, delivery, affiliates sharing their form, disciplinary disclosures and more
Compliance "officers remain concerned that their good faith efforts and well-intentioned conduct may be punished"
OCIE seeks to add four positions to examine for compliance with new fiduciary duty rules and cybersecurity
Hester Peirce
We have created a regulatory Catch 22.  Would-be networks cannot get their tokens out into people’s hands because their tokens are potentially subject to the ...
Jay Costa Kelter was sentenced to a prison term of 29 months
OCIE examiners “expected us to have records of all of these reviews” for first party SLOAs
The financial services industry and a watchful market determining how best to react
Crypto is “going to change virtually every industry, but especially financial services. This is going to do to financial services what the internet did to ...

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