Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern
Reps have long sought to take their clients with them to greener pastures. Now this trend is heating up thanks to an infusion of green ...
The Commission wants the party to 'feel the financial penalty of the resolution'
Another topic that remains hot for the advocate is risks related to private fund investing, especially for retail investors
The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers
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
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 ...
Here's what your peers clicked on most last month on RCW
The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right
The case helps to define that sometimes squiggly line around CCO liability, and conjures advice for how a CCO should act when her superior shows ...