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An examination of OCIE"s latest risk alert, inside the SEC's new mutual fund proposal, a shifting battleground in the fiduciary duty debate and much more
RCW exclusives dominate this issue, including a first look at OCIE's Reg BI/Form CRS exam, OCIE examiners by regional offices, what's hot on exams, and ...
Tips for achieving your annual review while working remotely, signs of struggle with Form CRS, new OCIE 'team' to assess risks and much more
Concerns about new SEC guidance, the pandemic and BCPs, a former SEC official criticizes a new proposal and much more
Inside a new SEC proposal and a new OCIE risk alert, how to handle class-action lawsuits, are two CCOs better than one, and much more
Compensation disclosures, exclusive Form ADV data, tips to manage P&Ps and much more
New Form CRS FAQs, examining the new DOL fiduciary duty exemption proposal, criminal charges for VC founder and much more
High Court addresses disgorgement, new OCIE risk alert, extended pandemic relief and much more
Lucia ends 8-year-long SEC advertising case, valuation tips in a pandemic, an adviser fined millions and much more
A green light for private equity, fired CCO claims vindication, themes from remote working, and much more
Embattled fund adviser sued, an early look at the pandemic's effects on the markets, help for some advisers and much more
What to do before returning to the office, SEC enforcement faults compliance, tips should you ever be deposed by the SEC, and much more
Tips to help with your first Form CRS, examples of real Form CRSs, the pandemic and liquidity, and much more
Debating disclosing PPP loans, a plan to return to the office, cyber tips for working from home, and much more
RCW exclusive analysis of new Form ADV data, best practices around use of MFN clauses, Coronavirus rejiggers another SEC deadline and much more
Disclose if your firm took PPP money, how your peers are coping given the crisis, new cybersecurity best practices and much more
Tips for successful remote board meetings, the need to strip 'hedge clauses' from contracts, a new SEC proposal on valuation, and much more
Tips for working from home without going crazy, help with your first Form CRS, collating SEC coronavirus FAQs, and much more
An opportunity to get paycheck loans, guidance on filing your first Form CRS, new disclosures related to the pandemic, and much more
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