Home Coronavirus


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

"We’re built for connections and the only way we can do that now is virtually, and we must”
Consider getting a noise-cancelling headset
Firms encouraged to consider disclosure revisions based on COVID-19 events
Will OCIE use a firm’s “reliance on the temporary relief” as an excuse to examine an adviser?
The staff of the Division of Investment Management has prepared the following responses to questions about funds and advisers affected by COVID-19
SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...
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 ...
In light of COVID-19, however, Division staff will offer applicants the option to provide an e-mail address
On April 8, 2020, the Commission adopted rules that will modify the registration, communications, and offering processes for business development companies and other closed-end investment ...
If certain rules are followed, the loan turns into a grant
This message originally went to attendees of RCW's scheduled May IA compliance conference
Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom
Most of the largest advisers made no mention of the coronavirus or the pandemic
Broker-dealers who advance their customers cash from sweep accounts won’t have the outlay count against their net assets while they wait for banks to make ...
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
Mail “processing is not something that I specifically spelled out in the BCP and it has to be spelled out”
Some investors are inquiring about the health of key persons
If “logistical disruptions” caused by the coronavirus prevent the accountant from doing the surprise exam, it can be delayed
FINRA wants communication on BCPs to be a two-way street
SRO has reported seeing successful "social engineering" attacks

Copyright PEI Media

Not for publication, email or dissemination