These four factors can persuade Enforcement to give you credit, which could help swing an inquiry in your favor
Chair Atkins slashed the agency's enforcement budget in half last year, and has promised to do so again this year
The long-awaited proposal would create a new 'safe harbor' that fiduciaries could follow to reduce their legal risks
Examiners displayed their interest in how the adviser was approaching compliance with revised Regulation S-P
FinCEN’s whistleblower site is open for business, but the agency is looking for ideas about how awards should be doled out
The Commission considers these thresholds every five years, so the time has come to adjust them
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Sometimes compliance just can’t win
'The only somewhat surprising action was to vacate the preamble to the Retirement Security Rule in its entirety'
The world is getting smaller and it seems the SEC’s inclined to see registered investment advisers in the same way