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