Investment Advisers

What's ahead at the SEC, should you sign documents destined for the SEC, an earful over digital trading apps and much more

A peer shares the firm's policies and procedures for overseeing its subadvisers

Ransomware-related SARs filings in the first six months of this year already exceed 2020's total

FinCEN recommends four actions to combat ransomware cybersecurity concerns

A peer shares a great best ex tool

Comments from people outside the industry revealed an undercurrent of discontent with Wall Street and the SEC

"I am technology-neutral, but I am anything but public policy-neutral. As new technologies come along and change business models in finance, we need to continue ...

"More troubling is the requirement that Credit Suisse’s Chief Compliance Officer submit a series of annual certifications attesting to Credit Suisse’s adherence to its plea ...

The firm failed to file and deliver Form CRS by these deadlines, not becoming compliant until in or after late March 2021

"We have been very fortunate that for the most part, when broker-dealers have been forced to shut down and unwind operations, customer accounts have been ...