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Rulemaking deep dive: What’s inside the final names rule

September 28 2023

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Deficient advertising P&Ps cost adviser $1M

September 28 2023

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Funds’ names rule amendments approved

September 21 2023

Rulemaking deep dive: What’s inside the final names rule

SEC: Rulemaking

Carl Ayers

September 28 2023

Deficient advertising P&Ps cost adviser $1M

Advertising/Marketing

Carl Ayers

September 28 2023

Steps to uncover OBA, other concerns

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Carl Ayers

September 28 2023

Misstatements yield record SEC ESG penalty

Anti-Money Laundering

Hugh Kennedy

September 27 2023

Reg BI compliance and disclosure failures

Broker-Dealers

Hugh Kennedy

September 27 2023

Reg BI cases on the rise

Broker-Dealers

Hugh Kennedy

September 27 2023

BEST PRACTICES SPOTLIGHT

Agreements shouldn’t prohibit whistleblowers

Whistleblower Program

Carl Ayers

September 13 2023

Latest Regulatory Actions

RCW Staff

35 mins ago

67-year-old IA rep barred for cherry picking

SEC: Enforcement 36 mins ago

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Fiduciary duty violations costs $275k and leads to principal’s bar

SEC: Enforcement 42 mins ago

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Whistleblower issues in employee agreements costs adviser $10m

SEC: Enforcement 50 mins ago

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Barbara Jones

September 26 2023

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Guidance for Advisers Dabbling Early on with AI

Carl Ayers

September 5 2023

INVESTMENT ADVISERS ACT

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RCW Staff

June 12 2023

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SEC Chairman Gensler touches on his accomplishments before House committee

Congressional Activity September 28 2023

SEC Chairman Gensler addresses Investor Advisory Committee

SEC Operations September 22 2023

SEC Commissioner Peirce has questions for Investor Advisory Committee

SEC Operations September 22 2023

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RCW Staff

October 1 2023

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RCW Staff

October 1 2023

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RCW Staff

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RCW Staff

September 7 2023

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Cybersecurity

Carl Ayers

September 21 2023

Legal Questionnaire

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RCW Staff

September 21 2023

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Carl Ayers

October 1 2023

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LATEST NEWS

Rulemaking deep dive: What’s inside the final names rule

Deficient advertising P&Ps cost adviser $1M

Steps to uncover OBA, other concerns

Misstatements yield record SEC ESG penalty

Reg BI compliance and disclosure failures

Reg BI cases on the rise

BEST PRACTICES SPOTLIGHT

Agreements shouldn’t prohibit whistleblowers

LATEST REGULATORY ACTIONS

Latest Regulatory Actions

67-year-old IA rep barred for cherry picking

Fiduciary duty violations costs $275k and leads to principal’s bar

Whistleblower issues in employee agreements costs adviser $10m

WEBINARS

September 26 – Incident Response: Tips to Ensure You’re Ready for...

VIDEOS

Guidance for Advisers Dabbling Early on with AI

INVESTMENT ADVISERS ACT

Investment Advisers Act

SPEECHES

SEC Chairman Gensler touches on his accomplishments before House committee

SEC Chairman Gensler addresses Investor Advisory Committee

SEC Commissioner Peirce has questions for Investor Advisory Committee

DOWNLOAD LATEST WEEKLY BRIEFING

RESOURCES

Click on RCW Hot Topic Links

Quick Links to SEC Risk Alerts, Exam Priorities, Rules and More

Shortcuts to the Hottest IA Topics

COMPLIANCE TOOLBOX

Visit our compliance toolbox

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