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sec
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On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) summarizedfalse
3 minute read
On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published afalse
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SEC announces new “smaller fund outreach effort”
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5 minute read
SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs
On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationshipfalse
4 minute read
On April 29, 2019, Peter Driscoll, Director of the SEC’s Office of Compliance Inspections andfalse
4 minute read
Even if they are disinterested in politics, registered investment advisers (“RIA”) must be aware offalse
3 minute read
Regulation S-P is the SEC’s primary rule pertaining to the privacy notices and safeguard policiesfalse
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A recent enforcement action demonstrates that the SEC will not ignore compliance violations,false