Compliance Best Practices

Dual-hatted CCOs—often holding additional titles like president, CEO or principal—number about 20% of the population

It’s not often a regulator’s enforcement staff gets taken to the proverbial woodshed by a federal judge but that’s what’s happened in an embarrassing case ...

Survey our top new stories from the second full month of spring

Among other things, this exam letter asked for a list of employees by office locations, as well as an org chart revealing 'all entities that ...



Draw conclusions from a batch of new SEC examination document request letters obtained by RCW—each dated after the second Trump Administration took office

It’s a sad reality that live shooter exercises might need to become part of your firm’s business continuity planning and training

"The Custodian simply is acting as an agent in connection with staking the deposited Covered Crypto Assets on behalf of the owner"

As the deadline inches nearer to comply with the SEC’s revisions to Regulation S-P, look for the Commission’s Exams Division to help you get ready

For years, some on the SEC Commission have called for opening up private fund investing to non-accredited investors. With a new administration in office, the ...