-1.png)
2 minute read
On July 27, 2020, the SEC staff Standards of Conduct Implementation Committee (“Committee”) issuedfalse
3 minute read
On June 29, 2020 the US Securities and Exchange Commission (SEC) issued an order, granting anfalse
3 minute read
Do you know when your mutual fund or ETF’s last independent anti-money laundering (AML) review wasfalse
2 minute read
Requests For Proposals (“RFPs”) and Due Diligence Questionnaires (“DDQs”) are a mainstay forfalse
3 minute read
The Commodity Futures Trading Commission (CFTC) recently held its first virtual open meeting. Itfalse
5 minute read
On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published afalse
