This sample form, from a peer, serves to give a firm permission to conduct a background check on an employee
Neiman has sued Marble Ridge for millions of dollars in alleged damages
A peer shares her firm's code of ethics and personal trading policy
RCW contacted numerous CCOs, asking if they feel appreciated or could recall one time when they were seen in a heroic light within their firm. Most ...
“Assume that you made a mistake or someone else will make a mistake and have layers of defense,” asserts Ingalsbe
Two specific disclosures about the use of automated voting are encouraged in the new guidance
An adviser recorded pleading not to go to jail gets charged criminally with fraud, tips to destroy sensitive data so they don't fall into the ...
A failure to deliver final prospectuses in shelf offerings triggers enforcement action
“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats
SQN Capital relied on the Audited Financials Alternative to attempt to comply with the custody rule during the relevant period but failed to do so
Recordings caught Kamensky saying "Because they’re going to say that I abused my position as a fiduciary, which I probably did, right? Maybe I should ...
Compliance personnel recommended moving the FuelCell account to another trading desk to take advantage of that desk’s “newly built execution protocols for issuer stock sales.” ...
The SEC "will be hosting a roundtable this fall to share additional thoughts following completion of its review of the initial filings and will continue ...
The GLBA shield offers advisers that fall under the CCPA no protection regarding data breaches, though. Penalties can sting
Investment advisers have widely panned the Trump Administration’s efforts to rein in sustainable investments. Under rules proposed by Department of Labor officials June 30, pension ...
This is a cybersecurity checklist shared with permission of ISO Services
Larger firms should find this checklist beneficial as well
OCIE to quiz on Form CRS, reaction to new accredited investor definition, IAA pans DOL's ESG proposal and much more
"we believe that an investment adviser that uses automated voting should consider disclosing" these two things
"We have declined to adopt such a prescriptive approach at this time, but rather have focused on an incremental principles-based approach in order to see ...
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