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The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
Download the latest quarterly compliance calendar from RCW
Leissner received more than $43M in illicit payments for his role
compliance staff failed to create P&Ps to ensure that reps were being monitored when placing clients in inverse ETFs
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
A guide to help you comply with the custody rule
Nearly 50 regulatory rules are being considered by the SEC
Some firms have already published their Form CRS. Here are some examples
The SEC "will be hosting a roundtable this fall to share additional thoughts following completion of its review of the initial filings and will continue ...
Will OCIE use a firm’s “reliance on the temporary relief” as an excuse to examine an adviser?
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