IAA 1940 Rule 204-2
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Seven hard truths every new Chief Compliance Officer must face
Practical tips to help you stay steady in the storm.
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Atom Investors dinged for ecomms recordkeeping lapses, but no fine imposed
The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.
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‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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SEC Risk Alert highlights new areas of focus in Marketing Rule exams
SEC’s latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.
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SEC amends safeguarding rule to enhance customer asset protection
Changes address concerns about client asset custody problems in the crypto sector.