Regularly conduct an AI inventory to know where the technology is being used at your firm, as well at your vendors
Moving is always a hassle. It doesn’t get any easier when an investment adviser decides to rid itself of a long-time custodian and segue to ...
Here’s a compliance strategy you may want to add to your arsenal: Ask your custodian for a list of phone numbers used by clients to ...
There always seems there are bad actors intent on spoiling things for the rest of us. Take artificial intelligence
Private fund advisers also should be aware that the SEC is scrutinizing NAV loans
The virtual outreach to municipal market professionals will focus on compliance and regulatory matters
It’s summer, so time to check out the hottest RCW stories clicked on during the last month
The new exam letter marks yet another look at the priorities of a newly reshaped SEC and the new administration
Lessons that can be drawn from this case include to exercise extra scrutiny of trust accounts to ensure money isn’t being transferred illegally to an ...
Twenty-one staffers fled the Exams Division while another 51 departed Enforcement