DOL will not pursue prohibited transaction claims against firms who are working to comply with certain Impartial Conduct Standards for transactions.
On September 29, 2021, the SEC’s new Chairman, Gary Gensler held an open meeting discussing proposed amendments to Form N-PX.
U.S. Congresswoman, Alexandria Ocasio-Cortez introduced The Family Office Regulation Act of 2021 (4620) to amend the Investment Advisers Act of 1940.
The Securities and Exchange Commission has recently started cracking down on investment advisers improperly recommending complex financial products.
Wrap Fee Program Compliance Risks: The SEC’s Latest Guidance WHAT HAPPENED? The SEC recently released […]
Some focus areas, like cybersecurity and business continuity, are more relevant than ever with the changes to how business is conducted worldwide.
There has been an increase in SEC Exam requests related to cybersecurity due to surge in supply chain attacks and data breaches.
The SEC issued a press release announcing the appointment of New Jersey Attorney General, Gurbir S. Grewal, as the Commission’s new Director of Enforcement.
Potential harm to investors could have been avoided if the firm had proper compliance controls in place.
The Securities and Exchange Commission released its latest regulatory agenda, which outlines the commission’s pending rules and regulations.
