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IA Rules & Regulatory Actions

The adviser did not have procedures or controls in place to identify or monitor cross trades involving RICs. It also did not conduct any testing ...
The proposed rule would require advisers to conduct due diligence prior to engaging a service provider to perform certain services or functions. It would further ...
The agency touts 760 total enforcement actions in FY '22, a 9% increase over the prior year
EXAMS encourages broker-dealers to review their policies and procedures related to the new and enhanced information requirements under Rule 606 and reevaluate the accuracy and ...
The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants
The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications
The SEC adopts amendments to Form N-PX to enhance the information mutual funds, ETFs, and certain other funds report about their proxy votes. This final ...
This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers
As UCB Advisers’ CCO, Garcia compliance duties related to securities, including penny stocks, and was tasked with ensuring that UCB Advisers and its IARs comply ...
The Commission proposes to amend the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasury securities ...
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