Compliance Best Practices

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Download the latest quarterly compliance calendar from Regulatory Compliance Watch

Prepare for your next SEC exam by examining what DOE is asking other advisers

Sometimes compliance just can’t win

The SEC and the CFTC have collaborated on this final rule that aims to provide regulatory guidance around the use of crypto assets and transactions ...

Whatever the recent runs on private credit cost economically, they’re already forcing the private funds industry to draw down precious political capital

The new FAQ was added to 15 others relating to crypto asset activities and distributed ledger technology that the Trading and Markets division has posted ...

The amendments also authorize FINRA staff to grant exemptions from the gifts rule 'for good cause shown'

You had a sense that this was coming under this new Administration: The SEC and the CFTC would clarify the regulatory law surrounding crypto assets

Try simply sending the vendor an email that states the vendor knows about the new notification requirements and revised Reg S-P