'Current regime isn't working,' Peirce says
“Everything’s negotiable in COVID-19” because so many firms are now working from home. “This is the time to negotiate and to negotiate hard. They can ...
MMF boards will be able to delegate the administration of the new fee framework to their investment advisers
The adviser has established a committee to survey how AI may be being used throughout the organization and to potentially develop guidelines. 'We’re working across ...
'The SEC also could benefit from staff making greater use of AI in their market surveillance, and disclosure reviews, exams, enforcement, and the like'
Even advisory giants can be felled by poor compliance oversight
The survey shockingly revealed that nearly 9% of respondents "are still in the process of updating" their advertising/marketing P&Ps
Examiners may want to see additional procedures to be comfortable that the firm could adequately conduct its reviews given this situation
It’s a challenge that gnaws at compliance officers like a pesky summer insect buzzing around your head: ensuring that staff aren’t using so-called off-channel communications ...
Here’s a list of various apps and products your firm’s staff could potentially use to communicate work-related messages
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