The Division of Examinations in the Securities and Exchange Commission pushed out a new risk alert focused on Investment Adviser Annual Comp…
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Legal
New Risk Alert on Investment Adviser Annual Compliance Reviews
Legal
When Compliance Says “Do It”, But the Firm Doesn’t
Pay $500,000. Get Censured. Independent Financial Group was a dually registered broker-dealer and investment adviser. It had investment disc…
Legal
Extending Compliance Dates for Form PF
The Securities and Exchange Commission and the Commodity Futures Trading Commission jointly agreed to further extend the compliance deadline…
Legal
The Massive Scope of Digital Asset Investment Scams
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network published an analysis and an alert to financial institutions to b…
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