Compliance Best Practices

You'll want to know about 'nuances of the Investment Company Act' that you must become familiar with, including ETF limits on illiquid assets

The SEC’s new exam priorities offer the private fund industry the first light touch they’ve had in years, but heavy hands await those fund managers ...

Be sure to remind your registered reps to earn their required continuing education units

Know what your peers regarded as RCW's best editorial content from the year's 11th month

How to start up your own ETF, warnings and optimism on stablecoins, new PF risks tied to retail investors and much more

Exchange traded funds are proving more popular than syrup on pancakes. And they may be even hotter than hot cakes

'We are at a time of incredible change in this industry …. It’s going to be an interesting next few years'

The case supplies a glimpse of how to approach disclosure around revenue sharing and conflicts, no doubt refined after this drawn-out civil lawsuit

Expect examiners to train their attention on P&Ps and whether they're enforced, whether disclosures address fee-related conflicts, and more

Broker-dealers can expect SEC examiners to ask about net capital rules, customer protection and their firms’ “internal processes, procedures and controls,” the Commission says in ...