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This is NASAA's checklist to help IAs with cybersecurity
While the Investment Adviser Association in Washington, D.C., supports “the goals of their CE requirements,” NASAA’s claims that IARs suffer from an educational gap “is ...
The association asserts that "NO personal information has been compromised”
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 ...
A slew of circumstances can bring on diminished capacity. The report speaks of accidents and injuries, drug abuse and medications. But aging tops the list
The Trump Administration’s proposed overhaul of the Volcker Rule should go even further by making clear that it may take more than three years to ...
Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
Sideletter
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
The financial services industry and a watchful market determining how best to react
The report found “significant failures” caused primarily by “systemic, longstanding, governance-level weaknesses” that can’t be addressed “without commensurate governance reforms”
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