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Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.March 31
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Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.March 25
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We've had many chances to learn, from the dot-com bust to the 2008 financial crisis. But the storm is perhaps most applicable to our current situation.March 23
Managing PrincipalCipperman Compliance Services
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The advisor had been previously arrested at the airport prior to boarding a flight.March 23
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Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.March 19
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Senior officials are growing wary of how firms are trying to recoup revenue amid the "race to zero" commissions.March 12
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Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.March 9
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"If rules are too broad or vague, we may end up circumscribing conduct that we never intended to capture,” Commissioner Allison Herren Lee said.March 6
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In an hour-long session, justices considered the agency's use of “disgorgement” to collect money from someone the commission sues in federal court.March 4
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A Supreme Court ruling could eviscerate one of the agency’s most potent weapons.March 2
