Home Newsletters

Newsletters

OCIE's asking about your BCP, the government does more to help you cope with the coronavirus, how your peers are doing and much more
Regulatory relief due to the coronavirus, why was a CCO fired after discovering violations by the CEO, help urged for closed-end fund advisers, and ...
What your peers are doing in response to the coronavirus, instructions for completing Form CRS, OCIE will note if you change CCOs and much more
SCOTUS to rule on disgorgement, ESG/SRI trends and exams, proposed compliance due diligence
Disgorgement case heads to the High Court, a look at new Reg BI FAQs, falsely accused suffers again, and much more
Guidance to get start on your Form CRS, what's the latest with OCIE exams, will closed-end funds survive, and much more
New Form CRS FAQs, an adviser takes on the coronavirus, comments on advertising rule and much more
What OCIE's asking about custody, take your Form CRS to the golf course, the SEC and the coronavirus, and much more
Cybersecurity best practices from OCIE, new privacy law, GDPR enforcement, attorney-client privilege and more
Brexit's for real now, update on Reg BI lawsuits, tips for confirming qualified clients, and more
Reg BI answers, case raises reporting questions, more share class enforcement and much more
OCIE's 2020 exam priorities, reports from actual exams, IA vows to fight on, and much more
Predictions for 2020, your peers' compliance resolutions, new regulations coming this year
New SEC rules, cybersecurity tips, custody and more in our last issue of 2019
More guidance on the advertising proposal, an exclusive RCW investigation, cybersecurity tips and more
Only one Form CRS per firm, how to disclose rollovers, encryption best practices
SEC proposes derivatives rule, disclosure failures, CFTC aims for harmony
The SEC's rulemaking agenda, tips for complying with Reg BI/Form CRS, the 'Cannibal cop' & the CCO
Reaction to the SEC's advertising proposal, a CCO who faces prison, your peers and social media and much more
New proposed SEC rules on advertising, solicitation, books and records and more
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination