Welcome to GRIP, Global Relay’s new digital information service on practical compliance and regulatory change.
Please enjoy this free trial of our subscription content service, for a limited time only.
-
Mock exams – your questions answered
The challenges and opportunities of preparing for a mock SEC examination.
-
SEC Chair Gensler warns on AI conflicts of interest
As AI becomes increasingly widespread, financial institutions will have to make sure that their clients are coming first.
-
SEC adopts reporting enhancements for registered investment companies
The SEC adopted amendments to reporting requirements on Form N-PORT so it can get more timely information about certain registered investment companies.
-
SEC defends against climate disclosure rule challenges in court
Agency claims it has authority to require financially significant risk disclosures, including those that relate to the environment.
-
Is the striking down of the private fund adviser rules a pyrrhic victory?
There are three reasons why viewing this as an unqualified win for the private fund industry might be premature.
-
CEOs convicted for securities fraud
Schneider and Gentile used investor capital to pay out monthly distributions and create the illusion that their funds were performing satisfactorily.
-
Cryptocurrency developer Nader Al-Naji arrested on wire fraud charge
He is accused of misleading investors and regulators by claiming his crypto-cum-social media platform was decentralized.
-
SEC starts sweep of exams on T+1 compliance at investment adviser firms
Several registered investment advisers have received examination letters related to T+1 settlement compliance.