Before you even start reading this, go to Outlook or whatever calendar…
Read MoreThe SEC and the Chief Compliance Officer, 2013
Mary Jo White recently gave a speech before the National Society of…
Read MoreAdvisers Should Start Preparing to File Form ADV Amendments
It is that time of the year again! Registered investment advisers are…
Read MoreCould You Find an SEC Examiner in Your Boardroom?
Rather than taking a more hands off approach, the Securities and Exchange…
Read MoreGoing Rogue: SEC Highlights Dangers of Unauthorized Trading
The Securities and Exchange Commission recently issued a Risk Alert regarding the…
Read MoreThink Before You Click: FINRA Warns Investment Firms About New Scam
Cyber-security should be a top priority for everyone in the financial services…
Read MoreSEC Remarks at Compliance Outreach Program Emphasize Role of Senior Management
As we mentioned in an earlier blog post, the Securities and Exchange…
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