September 18, 2023 RCW Weekly Briefing

An SEC marketing rule sweep nets nine firms, there's a new risk alert to help you prepare for exams, Republican Commissioner Mark Uyeda sees compliance opportunities in artificial intelligence, a Senator tees off on private funds, FSOC gets an earful from industry and much, much more...

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.