Carl Ayers
The OCIE request raises the specter of a long stretch of working from home.
Be aware that examiners may question your logic for placing clients in certain share classes
'If you’re subject to the law, it doesn’t really matter if you’re in or outside of California.'
If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'
OCIE hopes these observations will spur organizations 'to reflect on their own cybersecurity practices.'
Attorneys general from seven states and Washington, DC claim the Commission bypassed congressional intent in approving Reg Best Interest.
The agency's new report provides 'hallmarks' of effective compliance programs detected by the agency over the years.
'I think it’s going to be a big year for advisor regulations.'
Nearly 50 rules are being considered by the Securities and Exchange Commission.
The proposal would keep the current financial tests for establishing who is an accredited investor but would add new categories.
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