Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth
Check out the 10 top RCW stories for the month
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
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 ...
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 ...
'“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
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 ...
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