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'America’s markets are the greatest in the world because we have strong investor protection and because we have effective regulators at the SEC,' Ohio senator ...
In the wake of the most sweeping regulations since the financial crisis, Gensler was grilled this week by members of the Senate’s Banking, Housing and ...
Notice puts industry on the clock
First compliance deadlines take effect 60 days from Sept. 14
'The clock is ticking'
The SEC's crackdown on custody rule violations has yielded five new enforcement cases, all of them small private fund advisers.
Compliance may not be a check-the-box exercise anymore, but you've still got to check the boxes
The statue of Justice - lady justice or Iustitia / Justitia the Roman goddess of Justice in a court room. ideal for websites and magazines layouts
Suit asks Fifth Circuit to vacate sweeping new rules
SEC can't mandate stand-alone compliance departments, but burdens of new rules may make it inevitable
By slipping 2019 fiduciary guidance in as dicta, Commission may signal a crackdown
Examiners seek lists of employees, execs, board members with cyber responsibilities

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