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A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.
July 31
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The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.
July 26
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The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.
July 24
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The latest proposed changes tweak criteria that would disqualify firms from having 'residential supervisory locations.'
July 6
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The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.
July 3
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The broker-dealer self-regulator said the shortfall is partly the result of increased spending on staff coupled with a decline in the value of its investment portfolio.
June 30
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The bill would not only ban non-competes but also limit the scope of non-solicit agreements.
June 29
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The panel's recommendation would also seek comments on the possibility of outsourcing some review functions to third-party firms.
June 27 -
The Investment Adviser Association contends federal regulators have not taken into account the likely onerous cumulative effects of their proposals on cybersecurity, outsourcing and data security.
June 22
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INVEST 2023 panelists and the latest SEC risk alert suggest the regulator will treat the rule much like one that has cost big Wall Street firms more than $2 billion in fines.
June 20
