Compliance and COVID-19: Opportunities for Growth
The spread of the COVID-19 pandemic has presented challenges for [...]
8
04, 2020
27
03, 2020
BCP and COVID-19: Considerations for Firms
Many financial service firms have written supervisory procedures in place [...]
16
03, 2020
SEC Enforcement Actions: Key Takeaways for 2020
Enforcement actions can be scary, especially if you or your [...]
25
10, 2019
Fees and Expenses: 2019 SEC Examination Priorities
At the end of each calendar year, the Office of [...]
11
10, 2019
Best Execution: Compliance for Investment Advisers
Under the Investment Advisors Act of 1940 (the “Advisers Act”), [...]
20
09, 2019
Safeguarding Client Information
With the transition into the electronic storage of client data, [...]
13
09, 2019
Principal and Agency Cross Trading
Investment Adviser Principal and Agency Cross Trading practices was the [...]
9
09, 2019
Compliance, Supervision, and Disclosures
Beginning in 2017, the United States Security and Exchange Commission [...]
30
08, 2019
Regulation Best Interest and CRS Relationship Summary
In June, the U.S. Securities and Exchange Commission (SEC) passed [...]
20
08, 2019
Custody of Cryptocurrency: Considerations for Broker-Dealers
It is evident that the U.S. Securities and Exchange Commission [...]