American Politics and Grassroots Policy - Money
“We would assume a massive selloff in equities” should Congress not act in time
Video conference concept. Teleconference. Webinar. Online seminar. e-Learning.
“Have you kept up with the pace of regulatory change?” asked the SEC official. Your compliance P&Ps should “reflect those regulatory changes”
As with any compliance issue, your work begins with a risk assessment. You may determine your risks are so small as to justify only a modest ...
Top 10 text on notebook in hand businesswoomen.
Check out our most popular stories from April
Businesswoman Addressing Work Colleagues In Meeting Around Boardroom Table
The SEC’s Division of Examinations third risk alert of the year reminds advisers to include their branch offices in their compliance P&Ps, especially those designed ...
young woman in counselling session
A greater understanding of what it takes to comply with the SEC’s best interest standard comes out of new staff guidance designed to help advisers ...
Woman leading protests on a demonstration for equal rights
IAA states that the Division of Examinations could simply release a risk alert with guidance to help advisers improve their oversight of vendors without a ...
“It is getting more complicated” to search for conflicts because of business complexity
A wide-angle view of a board room meeting which is all women. They are discussing ideas and working on things together to come up with business opportunities.
Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...
Lack of communication between robo adviser's compliance personnel and engineers contributes to disclosure issues

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