covid 19

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Regulatory Update: State Regulators Revisit Temporary Relief for Investment Advisor Registrants Affected by the COVID-19 Pandemic

Several states adopted measures granting temporary relief to investment advisor registrantsfalse

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SEC Risk Alert: IA and BD Risks During The COVID-19 Pandemic

On August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued afalse
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Increased Fraud During the Covid-19 Pandemic

The outbreak of Covid-19 has not only presented unprecedented global health and socio-economicfalse
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Risk Alert - SEC Issues Guidance on PPP Loan Disclosure

This week, the SEC published guidance stating that advisors who have taken a Paycheck Protectionfalse
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Risk Alert - Compliance Considerations for CARES Act Loans

In response to the Coronavirus (COVID-19) pandemic, small business owners in all U.S. states,false
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COVID-19 Telework Security and Privacy Concerns and Considerations

As companies and schools have shifted to remote work and tele-education during the global COVID-19false

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Risk Alert - Form CRS and SEC Examinations

On April 7, 2020, the Securities and Exchange Commission (“SEC”) Office of Compliance Inspectionsfalse
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Coronavirus Pandemic – Compliance Challenges and Best Practices

Since the publication of our March 18, 2020 blog from Les Abromovitz – Coronavirus Pandemic Createsfalse
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Considering adding a subsequent event footnote to your financial reports in light of the COVID-19 pandemic?

ASC 855 explains that an entity should recognize in the financial statements the effects of allfalse

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The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.