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Given the frenetic consciousness whipped up by 2020, it would be understandable if you missed our warning last year over so-called “hedge” clauses. But SEC ...
Tasks such as setting up bank accounts, creating legal entities, obtaining tax ID numbers, finding a transfer agent, scoring D&O insurance for officers, lining up ...
Charging CCOs can actually increase future securities violations, the report argues, because it could discourage compliance professionals from “deep involvement” in their firms
14% of adviser respondents reported using or recommending cryptocurrencies for clients in 2021
Firm also ran afoul of cash solicitation and documentation requirements, 'ineffective' compliance program cited
Know that an inherited IRA cannot be rolled over but a spousal one can be
Look out for additional expenses, perhaps labelled a 'surplus line' tax, a 'stamping tax,' a 'stamping fee' or a 'broker filing fee'
IPOs and SPACs, crypto assets, fintech, data analytics, and private funds are SEC resources focus
DOE just missed its goal of examining 16% of RIAs in FY 2020, scrutinizing 15% of the RIA population. The plan estimates that DOE will ...
The state “encourages applicants to submit Form U4 applications as soon as possible … as we anticipate a longer than usual review process through the ...

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