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SEC Rule 206(4)-7
In connection with the supervisory compliance controls of Rule 206(4)-7, SEC Final Rule Release IA-2204 and corresponding SEC guidance, firms must:
Guidance on where to focus when preparing for the 2024 SEC exams.
At the NSCP annual conference this week, SEC Exam Division leaders told the audience how to best prepare for agency inspections.
Julie DiMauro6 min read
Commissioner tells annual gathering to prepare for additional workload caused by 'overactive' regulator.
Julie DiMauro4 min read
Enforcement actions addressed a failure to develop a mutual fund AML programme along with misstatements in its ESG investment process.
Julie DiMauro3 min read
Use your annual review to set the right tone to build a culture of compliance and reduce risk.
Ryan Stibich | Bovill Newgate3 min read
In one of this week’s cases, a company founder paid a data science professor to manufacture fake data, and an investment advisor firm failed to disclose fees of more than $4m.
Martina Lindberg2 min read
An $850m fraud scheme that funded a businessman's lavish lifestyle features among the SEC's charges this week.
Martina Lindberg2 min read
Changes address concerns about client asset custody problems in the crypto sector.
Thomas Hyrkiel2 min read