"Group of college students in the university amphitheatre, they are sitting and doing an exam."
As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes
Employee Retirement Income Security Act ERISA is shown on a photo using the text
Firms must e-mail the DOL by Sept. 15th at QPAM@dol.gov, including “the legal name of the entity and any name the QPAM may be operating ...
IA penalized $60K for running afoul of the Commission's pay-to-play rule
Man Carpet Stumble Accident And Falldown In House
The resounding message is don't advertise hypothetical performance on your public websites
Senior Architect with his team reviewing blueprint in the office. Looking at digital tablet and blueprints.
A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google ...
Business statistics concept. Marketing. Analysis. Management strategy.
You may not always agree with your regulator’s stance but you often have little choice but to heed it
Project management, leadership and planning with business people in meeting for marketing strategy, consulting and teamwork. Collaboration, growth and future with employees in office for research
Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...
Handsome young man with tablet in the streets of London
Heed the lessons of the SEC’s latest off-channel communications enforcement action against an adviser and you may well sidestep a similar fate
Court of Law Trial in Session: Portrait of Honorable Female Judge Reading Decision. Presiding Justice Pronouncing Sentence. Not Guilty Verdict Judgment.
This is a fundamental violation of an investment advisers’ fiduciary duty to act in the best interest of its clients, according to the judge
Asian woman working on laptop. Businesswoman busy working on laptop computer at office with colleagues in the background.
The final rule states that human-directed 'client-specific investment advice, even if delivered through electronic means, would not be eligible activity under the Internet Adviser Exemption'
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