Newsletter

Yet another new final rule from the SEC, tips to prepare for a cyber breach, the FBI wants your help and much more

A look at the state of ESG in the industry, due diligence best practices, more reaction to proposed PF rules and much more

The SEC reveals its enforcement successes for FY '23, regulators looking at advisers selling insurance, lessons attached to Form CRS disclosures and much more

A deeper look at the Labor Department's new fiduciary duty proposal and potentially revised PTEs, why private fund rules are 'flawed,' more on off-channel communications ...

A look at the Labor Department's new fiduciary duty rule, dozens of new FAQs related to Form ADV, more gripes about the SEC's safeguarding proposal ...

An RCW exclusive shares the DOE's new AI sweep exam letter, CCO liability pops up in new SEC speeches, do you know what 'informed consent" ...

The SEC's Division of Examinations releases its 2024 exam priorities in 2023, the industry rejects the agency's AI proposal, tips to create a winning incident ...

RCW exclusive on a new type of SEC sweep exam, SEC commissioners approve a new rule proposal, tips to prepare for say-on-pay votes and much ...

More enforcement cases tied to off-channel communications, CCO charged in inflated AUM case, employee agreements cost adviser $10m, and much more

A dive into the new SEC names rule, disclosure issues related to ESG investing, due diligence tips and much more