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There may be a reason this change wasn't mentioned by SEC staff recently—it attracted nearly 2,300 comments—many of them urging the agency to drop the ...
The association asserts that "NO personal information has been compromised”
OCIE examined 15% of SEC-registered IAs in fiscal year 2020
More signs to look out for include a senior client who has difficulty with “high-level tasks,” like understanding financial concepts about investing
The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity
The ICO letter states UK firms regulated by the UK’s FCA and the SEC “are allowed to turn [records] over to the SEC in the ...
Fund of funds arrangements, derivatives, fund valuation, advertising, and solicitation are all on the agenda
There’s no indication in the complaint of a subsequent OCIE exam, triggering a question as to how the SEC would have learned of this, raising ...
If you can’t watch the live event or it fills up, there will be a recording on the SEC website following the webcast
TAM required four money market funds it advised to reimburse fees and expenses previously waived
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