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RCW’s complete coverage of Covid-19 or the coronavirus

Warf recalls nurses waking him to say, “‘we’re taking you to the ICU,’ which, of course, scared me to death”
Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...
Focus areas are detection. monitoring, suspicious activity report filing and fraud reporting
Independent compliance expert and consultant Toni Caiazzo Neff passes along this COVID-19 due diligence questionnaire. 
Investment knowledge was found to be particularly low for new investors
An adviser, who asked for anonymity, shares the firm's newly revised COVID P&Ps that take into account returning to work and the new vaccines
Feedback sought on impact to firms' operations and business models and the effectiveness of BCPs
OCIE’s recent risk alert on branch office businesses may well offer some lessons to the broader industry, a top regulatory lawyer tells RCW. The risk ...
Hester Peirce
"The disclosures to date have varied in the extent to which they discuss the effect of COVID on their operations, financial condition, and expectations of ...
When the pandemic arrived and marketplace, supply chain and other disruptions began, having a principles-based disclosure regime meant that we already had the rules in ...

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