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'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'
Exams focus on alt data, suspicious "wins"
More than one in five cases involved fees, expenses or valuations
'Everyone’s guessing at this point'
Last minute tips as Nov. 4 deadline draws near
Examiners, enforcers focused on conflicts, disclosures, experts warn
'Broken windows' gets industry workout
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads
Two individuals have been barred from the securities industry for cheating during their online qualification exams
Given the many similarities, they could indicate that the ESG questions make up the agency’s current template for ESG exams