Man with long nose isolated on grey wall background. Liar concept. Human face expressions, emotions, feelings.
Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth
Top 10 text on notebook in hand businesswoomen.
Check out the 10 top RCW stories for the month
Joyful male entrepreneur screaming while crossing the finish line and celebrating winning in race at casual office.
The SEC has finally admitted that it won’t restart a 7-year-long enforcement action that went all the way to the U.S. Supreme Court
The IAA suggests the SEC use the number of employees as the appropriate standard for determining the impact of its regulations on small advisers
Airplane with banner against seagulls
The final rule estimates initial costs to satisfy the revised rule 'will range from $50,000 to $500,000 per fund.' For those funds that will have ...
Stressed businessman tripping above green meadow to catch his flying file folders
The adviser would 'periodically' have its disclosures 'reviewed and revised by WAM’s internal and external legal and compliance professionals, but those revisions did not adequately ...
Businessman holding magnifying glass zoom and analyzing financial indicators
'“Look at red flags like cockroaches. If you see one, you should start looking for more just to make sure you don’t have a real ...
SEC found Deutsche Bank subsidiary made materially misleading statements about its controls for incorporating ESG factors into research and investment recommendations
Successful group of business people talking on the street
Revised rule 35d-1 would mandate a fund have a P&P mandating it invest at least 80% of its assets in accordance with its name, plus ...
This case offers lessons around the need to uncover unauthorized outside business activity, for compliance officers to dig deeper when they detect red flags, to ...

Copyright PEI Media

Not for publication, email or dissemination