Its nice to have money. Especially in these days of bubble-bursting, belt-tightening, and bottom-hitting. Its even nicer when regulators acknowledge they have enough money and dont need more of yours.Effective August 1, the SEC extended through the end of the year a nearly four-year old waiver of fees for the Investment Adviser Registration Depository. Advisers […]
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
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Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.