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“If you haven’t seen examiners in six plus years, you should expect to see examiners soon,” predicted John Walsh
The good news, examiners found, is that some advisers were on top of their ESG regimes. Regulators offer some tips from the best of the ...
Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...
A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...
15% of the SEC-registered IA population was examined in FY2020
“CRS is a different beast,” said Anil Abraham. Anything disciplinary related affects your answer on the form. The SEC has been clear “if you have ...
Over the past five years, the number of SEC-registered IAs has jumped 16%
The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...
RCW has obtained a new DOE document request letter proving opportunity zone investments have attracted examiner interest
Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...
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