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This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
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Here's an example of a compliance P&P that outlines what must be reported to the firm under its code of ethics
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It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue
Businessman speaking through a megaphone announcing from a hill. Communication concept.
The SEC loses again in the High Court, get ready for say-on-pay reporting, court deference to federal agencies falls, and much more
Religious Freedom and The Supreme Court
Coming on the heels of the Commission’s PF rules’ loss in court, it’s very likely parties will see the Loper decision as an invitation to ...
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Here's what your peers clicked on most last month on RCW
Sparkler Happy New Year 2024 with fireworks
Download the latest quarterly compliance calendar from Regulatory Compliance Watch
Supreme Court of the United States in Washington DC in a sunny day, USA
The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right
Formal group photograph of the Supreme Court as it was been comprised on June 30, 2022 after Justice Ketanji Brown Jackson joined the Court. The Justices are posed in front of red velvet drapes and arranged by seniority, with five seated and four standing. Seated from left are Justices Sonia Sotomayor, Clarence Thomas, Chief Justice John G. Roberts, Jr., and Justices Samuel A. Alito and Elena Kagan. Standing from left are Justices Amy Coney Barrett, Neil M. Gorsuch, Brett M. Kavanaugh, and Ketanji Brown Jackson. Credit: Fred Schilling, Collection of the Supreme Court of the United States
This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...
Lawyer is explaining about the wrongdoing laws regarding fraud to the client at the office.
Six cybersecurity lessons to heed, did a CCO get off easy in an enforcement case, a look at the state of the industry and much ...

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