Category: CFTC
CFTC | Chief Compliance Officer | cryptocurrency | Mutual Fund Regulation | Mutual Funds | Regulatory Deadlines
Advisers Fall Short on Referral Arrangements, Mutual Fund Exams Planned, Updates to Annual and FOCUS Reports Finalized, and Compliance Program Fails: Regulatory Update for December 2018
Photo by Clever Visuals on Unsplash Risk Alert – Investment Adviser Compliance Issues Related to the Cash Solicitation Rule: The Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert with a…
CFTC | Conflicts of Interest | Custody | DOL Fiduciary Rule | FINRA Rule Changes | Hedge Funds | ICO | Municipal Advisors | Mutual Funds | Private Funds | SEC News
SEC Hits Pause Button for ALJs; Updates on Custody Rule; SEC Director Discusses What Makes Cryptocurrency a Security; Mutual Funds Allowed to Save Trees: Regulatory Update for July 2018
SEC Stops All In-House Cases after Defeat in Supreme Court: The SEC enforcement division suffered a blow when the U.S. Supreme Court held that the process for hiring SEC’s administrative…
CFTC | Chief Compliance Officer | DOL Fiduciary Rule | FINRA Rule Changes | Form ADV | Form ADV Disclosure | Municipal Advisors | TRACE
Regulatory Update July 2017
Updates to Form ADV FAQs: SEC’s Division of Investment Management announced updates to its FAQs on Form ADV and IARD in its latest Information Update dated June 2017. Here’s a…