Today, SEC Chair Mary Jo White, in addressing Congress, stated that staff are “preparing a recommendation to the Commission for proposed rules requiring third-party compliance ...
A year after a former OCIE examiner resolved his case of violating SEC ethics rules regarding securities holdings (IA Watch, April 28, 2014), another case ...
Seven months after taking over as acting director of the SEC’s Office of Compliance Inspections and Examinations, Marc Wyatt was named the formal OCIE director ...
Recent enforcement actions demonstrate that best execution hasn’t slipped from regulators’ list of inquiring topics. An examination by IA Watch of several best execution ...
All the recent talk about CCOs being worried about being named in an enforcement action has left compliance staffers globally “feeling particularly vulnerable” to being ...
If your firm has hired an outsider as its CCO, you should review your business practices to ensure the compliance officer is up to the ...
Considering that all RIA CCOs must achieve an annual review each year, it’s worth hearing from a peer to gain ideas for improving your approach. ...
The SEC’s Enforcement Director Nov. 4 again addressed his division’s perspective on compliance officers and how Enforcement approaches cases that involve compliance personnel, but this ...
Should FinCEN go ahead with its plan to require RIAs to have a risk-based AML program, the industry should get 18 months to comply and ...
The SEC’s Division of Investment Management and the Office of Compliance Inspections and Examinations are actively developing a recommendation that would establish a program of ...