“CRS is a different beast,” said Anil Abraham. Anything disciplinary related affects your answer on the form. The SEC has been clear “if you have ...
The DOE sheds some light on issues it considers when identifying exam candidates
Over the past five years, the number of SEC-registered IAs has jumped 16%
The fraudster noted that “for a fee” it could “arrange for a reassessment of the property’s value” to lower the homeowner’s taxes
“The task force will also analyze disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies”
The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...
RCW has obtained a new DOE document request letter proving opportunity zone investments have attracted examiner interest
Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...
The focus areas for the DOE's exams tied to digital assets going forward are revealed
New rule 2a-5 lays out certain requirements when quotes are lacking. These include to come up with, test and apply fair value methods and to ...

Copyright PEI Media

Not for publication, email or dissemination