Investment Advisers

We’ve been asked to query CCOs about the type of compliance training software they use. In an online RCW survey launched this month, 52% of ...
A peer passes along the firm's P&Ps for trade errors
A peer shares the firm's P&Ps related to trade errors
OCIE on compliance shortfalls with complex products, tips for tackling trade errors, our exclusive survey on compliance training software and much more
The five settled cases are tied to unsuitable sales of volatility-linked exchange-traded products
The importance of ensuring recommendations made to retail clients comply with legal obligations is highlighted
Future requests for SEC no-action and interpretive letters must be filed using a new web-based form
“There’s a bright side to it and a dark side,” contends Alex Platt. The former helps the SEC bring additional cases; the latter may see ...
When the pandemic arrived and marketplace, supply chain and other disruptions began, having a principles-based disclosure regime meant that we already had the rules in ...
“OCIE adapted to conducting examinations on a correspondence basis while remaining prepared to go on-site when necessary,” wrote SEC Chair Jay Clayton. “OCIE has worked ...

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