Remarks at SIFMA's 2015 Anti-Money Laundering & Financial Crimes Conference
This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Investment company Act addresses the ...
Speaking last month at the SEC Speaks conference in Washington, D.C., SEC Chair Mary Jo White said the agency needs to focus “particular attention to ...
If you’re a compliance officer for a fund adviser, chances are you’re well aware a gifts and entertainment policy should be in your code of ...
SEC Settles Civil Action Against Penny Stock Company, Its Former Chief Executive Officer, and Two Penny Stock Financiers for Their Roles in Illegal Unregistered Stock ...