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Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles. ...
OCIE's asking about your BCP, the government does more to help you cope with the coronavirus, how your peers are doing and much more
Unless you happened to be alive in 1918, during the last great global pandemic, all of this is new
There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time
The Form ADV FAQ addresses temporary teleworking
The OCIE request raises the specter of a long stretch of working from home
The new order removes two conditions placed on advisers that wished to use the delay
Today’s Orders supersede and extend the filing periods covered by the Commission’s Original Orders of March 13, 2020
The SEC considers a "firm’s business continuity plan in response to circumstances related to coronavirus disease 2019"
The Commission will continue to monitor the current situation and may issue other relief as necessary or appropriate
"Broker-dealers, investment advisers, and other registrants must comply with policies and procedures that are designed to prevent the misuse of material nonpublic information"
OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site
The ICI believes that the relief outlined herein is necessary to enhance the liquidity and stability of money market funds during the ongoing and significant ...
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
Gain tips to help you polish off your new form
Regulatory relief due to the coronavirus, why was a CCO fired after discovering violations by the CEO, help urged for closed-end fund advisers, and ...
Fees, investments, ads and trading dominate this exam
Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions
Lapse in forming an Investor Advisory Committee an issue
Looking to identify IAs who outsource voting decisions
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