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3 minute read
On August 27, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published...
1 minute read
ASC 855 explains that an entity should recognize in the financial statements the effects of all...
3 minute read
According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,...
3 minute read
Recent enforcement actions make it clear how important it is for investment advisors to make full...
1 minute read
The SEC issued an Order offering registrants impacted by COVID-19 up to a 45-day extension relief...
5 minute read
As the principal underwriter of investment companies or as a placement agent for alternative...
3 minute read
The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations...
3 minute read
On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced...
3 minute read
On December 18, 2019, the SEC proposed an updated accredited investor definition. Accredited...