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A very limited number of personnel willย be able to respond to emergency situations involving market integrity and investor protection, includingย law enforcement
In this new world of deep fakes, itโs nice to know you can confirm someone is who they claim to be. Like an SEC examiner
It seldom fails. If compliance vows to do something and the firm neglects to follow through, itโs a sure bet an SEC examiner will take ...
'If the disclosures were misleading or conflicts werenโt properly disclosed and it resulted in inflated fees, then you could see enforcement activity,' Weil, Gotshal & ...
Thirteen percent of staff walked out the door after Elon Musk's DOGE raid. 'In practical terms, this puts more responsibility on asset managers,' Major, Lindsey ...
This latest risk alert suggests that the Commission thinks the industry needs additional help mastering the advisers' marketing rule
The Division continues to focus on advisersโ compliance with the Marketing Rule. The staff is sharing these observations to continue to promote compliance with the ...
These cases provide clear takeaways. First, share 'sufficient information' so that your intended audience can adequately understand the ads
The SECโs new exam priorities offer the private fund industry the first light touch theyโve had in years, but heavy hands await those fund managers ...









