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To meet this fiduciary obligation, HWIS was required to provide its advisory clients with full and fair disclosure that is sufficiently specific so that they ...
Creative failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in connection ...
The agencies note that the effective date for the 2020 amendments is unchanged and continues to be October 1, 2020
The SEC’s still open derivatives rulemaking notice may well be a glimpse into how the Commission will regulate money market and exchange-traded funds, Division of ...
A divided SEC approves new whistleblower rules, a CCO gets dinged for failing to review commissions and trading, a new fiscal year may set a ...
Altered reports were delivered to OCIE and Enforcement by the CCO
A banner year seen when it comes to the amount of financial remedies obtained
A divided SEC has approved new rules giving Commissioners discretion to raise or lower awards to whistleblowers, ending one of the most contentious rulemaking efforts ...
Jay Clayton
We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
Hester Peirce
Identifying asset managers who proclaim ESG, but don’t live it, is not so easy. Investors are pouring assets into ESG-labelled investment products, and asset managers ...
Some cases needed to be re-tried by entirely new trial teams who were pulled from active investigations and litigations. As you might imagine, this required ...
Although Haupt conducted certain reviews of GGHC’s trading in 2017, she conducted no reviews for excessive trading or the impact of GGHC’s trading strategies or ...
Limit video calls with examiners to 45-60 minutes because “people get tired” during these calls
The SEC has filed a cherry-picking suit against a New Jersey investment adviser and its president—less than a decade after the firm’s parent company was ...
A checklist to use when opening a new account
The form of cyber-attack employs compromised client login credentials
A 10-point questionnaire for advisers to ask clients as a means of planning for their elder years. This comes courtesy of Sandy Adams, CFP and ...
A look at OCIE's latest risk alert, a resolution to an issue that has frustrated some advisers and vexed the SEC, a development in a ...
“We didn’t anticipate that this would go on as long as it has,” OCIE Director Peter Driscoll said
The published rule begins June 14, 2021. It promises “an expedited review procedure for applications” that are “substantially identical to two other applications"
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